ILLINOISi TABLE OF CONTENTS October 5, 2018 Volume 42, Issue 40 PROPOSED RULES CAPITAL DEVELOPMENT...

ILLINOIS REGISTER RULES

OF GOVERNMENTAL AGENCIES

PUBLISHED BY JESSE WHITE • SECRETARY OF STATE

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

Printed on recycled paper

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TABLE OF CONTENTS

October 5, 2018 Volume 42, Issue 40

PROPOSED RULES CAPITAL DEVELOPMENT BOARD

Capital Development Board Procurement Practices for the Quincy

Veterans' Home

44 Ill. Adm. Code 930............................................................................17282

FINANCIAL AND PROFESSIONAL REGULATION, DEPARTMENT OF

Illinois Credit Union Act

38 Ill. Adm. Code 190............................................................................17285

HEALTHCARE AND FAMILY SERVICES, DEPARTMENT OF

Specialized Health Care Delivery Systems

89 Ill. Adm. Code 146............................................................................17309

INSURANCE, DEPARTMENT OF

Prior Notification of Transactions

50 Ill. Adm. Code 654............................................................................17316

Internal Security Standard and Fidelity Bonds

50 Ill. Adm. Code 904............................................................................17329

Correlated Sales of Life Insurance and Mutual Funds (Repealer)

50 Ill. Adm. Code 910............................................................................17336

Required Procedure for Filing and Securing Approval of Policy Forms

50 Ill. Adm. Code 916............................................................................17342

Minimum Standards of Individual Accident and Health Insurance

50 Ill. Adm. Code 2007..........................................................................17349

Preferred Provider Programs

50 Ill. Adm. Code 2051..........................................................................17368

Business Entities (Repealer)

50 Ill. Adm. Code 3115..........................................................................17489

Producer Licensing

50 Ill. Adm. Code 3121..........................................................................17493

Payment of Annual Compliance Fees for Pension Funds

50 Ill. Adm. Code 4415..........................................................................17497

Noncompliance Notification and Penalties

50 Ill. Adm. Code 4435..........................................................................17501

Navigator, In-Person Counselor and Certified Application Counselor

Certification

50 Ill. Adm. Code 4515..........................................................................17506

Managed Care Reform & Patient Rights

50 Ill. Adm. Code 4520..........................................................................17521

PUBLIC HEALTH, DEPARTMENT OF

Health Care Employee Vaccination Code

77 Ill. Adm. Code 956............................................................................17545

ADOPTED RULES

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NATURAL RESOURCES, DEPARTMENT OF

Duck, Goose and Coot Hunting

17 Ill. Adm. Code 590............................................................................17547

White-Tailed Deer Hunting By Use of Bow and Arrow

17 Ill. Adm. Code 670............................................................................17610


Emergency Medical Services, Trauma Center, Comprehensive Stroke

Center, Primary Stroke Center and Acute Stroke Ready Hospital Code

77 Ill. Adm. Code 515............................................................................17632

REVENUE, DEPARTMENT OF

Income Tax

86 Ill. Adm. Code 100............................................................................17852

EMERGENCY RULES CAPITAL DEVELOPMENT BOARD

Capital Development Board Procurement Practices for the Quincy

Veterans' Home

44 Ill. Adm. Code 930............................................................................17899

HEALTHCARE AND FAMILY SERVICES, DEPARTMENT OF

Specialized Health Care Delivery Systems

89 Ill. Adm. Code 146............................................................................17935


Health Care Employee Vaccination Code

77 Ill. Adm. Code 956............................................................................17942

NOTICE OF WITHDRAWAL OF PROPOSED RULEMAKING

Specialized Health Care Delivery Systems (Withdrawal of Proposed)

89 Ill. Adm. Code 146............................................................................17954

NOTICE OF CODIFICATION CHANGES FINANCIAL AND PROFESSIONAL REGULATION, DEPARTMENT OF

Nurse Practice Act

68 Ill. Adm. Code 1300..........................................................................17955

JCAR STATEMENT OF RECOMMENDATION GOVERNOR'S OFFICE OF MANAGEMENT AND BUDGET

Grant Accountability and Transparency Act

44 Ill. Adm. Code 7000..........................................................................17956

SECOND NOTICES RECEIVED JOINT COMMITTEE ON ADMINISTRATIVE RULES

Second Notices Received…...........................................................................17957

EXECUTIVE ORDERS AND PROCLAMATIONS EXECUTIVE ORDERS

Executive Order Reducing the Size of Government Through the

Revocation of Executive Orders

2018-10………………...........................................................................17958

Executive Order Reducing the Size of Government Through the

Abolition of Inoperative Boards and Commissions

2018-11………………...........................................................................17963

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Executive Order to Eliminate Nepotism In State Government Hiring

2018-12………………...........................................................................17975

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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 2018

Issue# Rules Due Date Date of Issue

1 December 26, 2017 January 5, 2018

2 January 2, 2018 January 12, 2018



5 January 22, 2018 February 2, 2018

6 January 29, 2018 February 9, 2018

7 February 5, 2018 February 16, 2018

8 February 13, 2018 February 23, 2018

9 February 20, 2018 March 2, 2018

10 February 26, 2018 March 9, 2018

11 March 5, 2018 March 16, 2018

12 March 12, 2018 March 23, 2018

13 March 19, 2018 March 30, 2018

14 March 26, 2018 April 6, 2018

15 April 2, 2018 April 13, 2018

16 April 9, 2018 April 20, 2018

17 April 16, 2018 April 27, 2018

18 April 23, 2018 May 4, 2018

19 April 30, 2018 May 11, 2018

20 May 7, 2018 May 18, 2018

21 May 14, 2018 May 25, 2018

22 May 21, 2018 June 1, 2018

23 May 29, 2018 June 8, 2018

24 June 4, 2018 June 15, 2018

25 June 11, 2018 June 22, 2018

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26 June 18, 2018 June 29, 2018

27 June 25, 2018 July 6, 2018

28 July 2, 2018 July 13, 2018

29 July 9, 2018 July 20, 2018

30 July 16, 2018 July 27, 2018

31 July 23, 2018 August 3, 2018

32 July 30, 2018 August 10, 2018

33 August 6, 2018 August 17, 2018

34 August 13, 2018 August 24, 2018

35 August 20, 2018 August 31, 2018

36 August 27, 2018 September 7, 2018

37 September 4, 2018 September 14, 2018



40 September 24, 2018 October 5, 2018

41 October 1, 2018 October 12, 2018

42 October 9, 2018 October 19, 2018

43 October 15, 2018 October 26, 2018

44 October 22, 2018 November 2, 2018

45 October 29, 2018 November 9, 2018

46 November 5, 2018 November 16, 2018



49 November 26, 2018 December 7, 2018

50 December 3, 2018 December 14, 2018



ILLINOIS REGISTER 17282

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CAPITAL DEVELOPMENT BOARD

NOTICE OF PROPOSED RULES

1) Heading of the Part: Capital Development Board Procurement Practices for the Quincy

Veterans' Home

2) Code Citation: 44 Ill. Adm. Code 930

3) Section Numbers: Proposed Actions:

930.100 New Section

930.110 New Section

930.120 New Section

930.130 New Section

930.200 New Section

930.205 New Section

930.210 New Section

930.215 New Section

930.220 New Section

930.225 New Section

930.230 New Section

930.235 New Section

930.240 New Section

930.245 New Section

930.250 New Section

930.300 New Section

930.310 New Section

930.320 New Section

930.330 New Section

930.340 New Section

930.350 New Section

930.360 New Section

930.370 New Section

930.380 New Section

4) Statutory Authority: Implementing and authorized by Section 5 of the Quincy Veterans'

Home Rehabilitation and Rebuilding Act [30 ILCS 21/5] and authorized by Section 1-35

of the Illinois Procurement Code [30 ILCS 500/1-35].

5) A Complete Description of the Subjects and Issues Involved: The new Part contains

standards governing procurement methods and procedures for construction and

construction-related services contracts used by the Capital Development Board for

projects located at the Quincy Veterans' Home.


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

rulemaking: None

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

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

9) Does this rulemaking contain incorporations by reference? No

10) Are there any other rulemakings pending on this Part? No

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

State mandate as defined in Section 3(b) of the State Mandates Act [30 ILCS 805/3(6)].

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

rulemaking: Any interested parties may submit comments, data, views or arguments

concerning this proposed rulemaking in writing for a period of 45 days following

publication of this Notice. All comments must be in writing and should be addressed to:

Amy Romano

General Counsel

Capital Development Board

401 S. Spring Street

3rd Floor Stratton Building

Springfield IL 62706

217/782-0700

e-mail: [email protected]

Comments submitted by small business should be identified as such.

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


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C) Types of professional skills necessary for compliance: None

14) Regulatory Agenda on which this rulemaking was summarized: This rule was not

included on either of the 2 most recent agendas because this rulemaking was not

anticipated by the Board.

The full text of the Proposed Rules is identical to that of the Emergency Rules found in this issue

of the Illinois Register, which begins on page 17899.


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DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION

NOTICE OF PROPOSED AMENDMENT

1) Heading of the Part: Illinois Credit Union Act


3) Section Number: Proposed Action:

190.165 Amendment

4) Statutory Authority: Implementing and authorized by the Illinois Credit Union Act [205

ILCS 305].

5) A Complete Description of the Subjects and Issues Involved: Pursuant to the Economic

Growth, Regulatory Relief, and Consumer Protection Act signed into law by President

Trump on May 24, 2018 (S. 2155, 115th Congress (2018)), the definitional section of the

member business loan (MBL) provisions of the Federal Credit Union Act was amended.

On May 30, 2018, the National Credit Union Association (NCUA) promulgated

conforming amendments to its NCUA MBL Rule (12 CFR Part 723). As a result of this

federal legislative and regulatory action, the definition of an MBL now excludes all

commercial extensions of credit fully secured by a lien on a 1 to 4 family dwelling,

regardless of the borrower's occupancy status (previously, the exclusion was limited to

such loans made on a 1 to 4 family dwelling occupied by the member as his or her

primary residence). Because those loans are now classified as real estate loans and not

considered MBLs, they will no longer count towards the aggregate MBL cap imposed on

federally insured credit unions by the FCU Act.

IDFPR-DFI has promulgated a MBL Rule for state-chartered credit unions and since the

NCUA has determined it is substantially similar to the NCUA MBL Rule, state credit

unions need only comply with the State MBL Rule. For consistency and parity with the

NCUA MBL Rule (81 FR 13554, Mar. 14, 2016, as amended at 83 FR 25882, eff, June 5,

2018), the IDFPR MBL Rule should be amended in Section 190.165(h)(2) to add (C) and

revised in Section 190.165(h)(3) to described in this proposed amendment.

6) Any published studies or reports, along with the sources of underlying data, that were

used when comprising this rulemaking? None

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




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11) Statement of Statewide Policy Objective: This rulemaking will not require a local

government to establish, expand or modify its activities in such a way as to necessitate

additional expenditures from local revenues.

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

Persons who wish to comment on this proposed rulemaking may submit written

comments no later than 45 days after the publication of this Notice to:

Department of Financial and Professional Regulation

Attention: Craig Cellini

320 West Washington, 3rd Floor


217/785-0813

fax: 217/557-4451

All written comments received within 45 days after this issue of the Illinois Register will

be considered.



affected: These amendments will not impact small businesses, small

municipalities and not-for-profit corporations.

B) Reporting, bookkeeping or other procedures required for compliance: No new

requirements are contained in this amendment.



included on either of the 2 most recent agendas because we did not anticipate the need to

make regulatory changes.

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


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TITLE 38: FINANCIAL INSTITUTIONS

CHAPTER I: DEPARTMENT OF FINANCIAL AND PROFESSIONAL REGULATION

PART 190

ILLINOIS CREDIT UNION ACT

SUBPART A: GENERAL PROVISIONS

Section

190.2 Definitions

190.5 Credit Union Service Organizations

190.10 Field of Membership Procedures

190.15 Civil Penalty

190.20 Hearings

190.25 Regulatory Examination Consistency and Due Process

190.30 Cease and Desist Procedures

190.40 Removal or Suspension Procedures

190.50 Fees

190.60 General Accounting Procedures

190.70 Loan Loss Accounting Procedures

190.80 Use of Electronic Data Processing

190.90 Fixed Asset Investments

190.100 Classes of Share and Special Purpose Share Accounts

190.110 Share Drafts

190.120 Bond and Insurance Requirements

190.130 Verification of Share and Loan Accounts

190.140 Real Estate Lending

190.150 Reverse Mortgage (Repealed)

190.160 Lending Limits – Consumer Loans

190.165 Business Loans

190.170 Group Purchasing

190.180 Investments

190.185 Investment in "Other Financial Institutions"

190.190 Liquidation

190.200 Conversion of Charter

190.210 Reimbursement for Financial Records

190.220 Registration of Out of State Credit Unions

SUBPART B: HIGH RISK HOME LOANS


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Section

190.500 Definitions (Repealed)

190.505 Applicability of Rule (Repealed)

190.510 Good Faith Requirements (Repealed)

190.515 Fraudulent or Deceptive Practices (Repealed)

190.520 Prohibited Refinances (Repealed)

190.525 Negative Amortization (Repealed)

190.530 Negative Equity (Repealed)

190.535 Balloon Payments (Repealed)

190.540 Financing of Certain Points and Fees (Repealed)

190.545 Financing of Single Premium Insurance Products (Repealed)

190.550 Lending Without Due Regard to Ability to Repay (Repealed)

190.555 Verification of Ability to Repay (Repealed)

190.560 Payments to Contractors (Repealed)

190.565 Counseling Prior to Perfecting Foreclosure (Repealed)

190.570 Mortgage Awareness Program (Repealed)

190.575 Offer of Mortgage Awareness Program (Repealed)

190.580 Third Party Review (Repealed)

SUBPART C: PAYDAY LOANS

Section

190.600 Definitions

190.601 Purpose and Scope

190.605 Applicability of Rule

190.610 Issuance of Payday Loans by Credit Unions

190.APPENDIX A Estimated Monthly Income and Expenses Worksheet (Repealed)

190.APPENDIX B Mortgage Ratio Worksheet (Repealed)

AUTHORITY: Implementing and authorized by the Illinois Credit Union Act [205 ILCS 305].

SOURCE: Adopted at 4 Ill. Reg. 20, p. 17, effective May 7, 1980; amended at 6 Ill. Reg. 11154,

effective September 7, 1982; amended and codified at 7 Ill. Reg. 14973, effective October 26,

1983; emergency amendment at 9 Ill. Reg. 14378, effective September 11, 1985, for a maximum

of 150 days; amended at 9 Ill. Reg. 16231, effective October 10, 1985; amended at 10 Ill. Reg.

14667, effective August 27, 1986; amended at 12 Ill. Reg. 10464, effective June 7, 1988;

amended at 12 Ill. Reg. 17383, effective October 24, 1988; amended at 13 Ill. Reg. 3793,


18



effective March 10, 1989; amended at 13 Ill. Reg. 15998, effective October 2, 1989; emergency

amendment at 16 Ill. Reg. 12781, effective July 29, 1992, for a maximum of 150 days; amended

at 16 Ill. Reg. 17073, effective October 26, 1992; amended at 19 Ill. Reg. 2826, effective

February 24, 1995; amended at 20 Ill. Reg. 5803, effective April 8, 1996; emergency amendment

at 20 Ill. Reg. 13093, effective September 27, 1996, for a maximum of 150 days; emergency

expired February 17, 1997; amended at 22 Ill. Reg. 17317, effective September 15, 1998;

emergency amendment at 23 Ill. Reg. 3086, effective February 23, 1999, for a maximum of 150

days; emergency expired July 22, 1999; amended at 23 Ill. Reg. 12614, effective October 4,

1999; amended at 23 Ill. Reg. 14031, effective November 12, 1999; amended at 25 Ill. Reg.

6244, effective May 17, 2001; amended at 25 Ill. Reg. 13278, effective October 19, 2001;

amended at 26 Ill. Reg. 17999, effective December 9, 2002; amended at 28 Ill. Reg. 11699,

effective July 29, 2004; amended at 29 Ill. Reg. 10579, effective July 8, 2005; amended at 30 Ill.

Reg. 18919, effective December 4, 2006; amended at 32 Ill. Reg. 1377, effective January 16,

2008; amended at 34 Ill. Reg. 10500, effective July 12, 2010; amended at 37 Ill. Reg. 12450,

effective July 16, 2013; amended at 38 Ill. Reg. 19910, effective October 17, 2014; amended at

41 Ill. Reg. 4764, effective May 1, 2017; amended at 41 Ill. Reg. 11307, effective August 28,

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


Section 190.165 Business Loans

a) Purpose and Scope

1) This Section is intended to accomplish two broad objectives. First, it sets

out policy and program responsibilities that an Illinois chartered credit

union must adopt and implement as part of a safe and sound commercial

lending program. Second, it incorporates the statutory limit on the

aggregate amount of member business loans that a federally insured credit

union may make pursuant to Section 107A of the Federal Credit Union

Act (12 USC 1757a). This Section distinguishes between these two

distinct objectives.

2) Credit Unions and Loans Covered by this Section

A) This Section applies to Illinois chartered natural person credit

unions. However, an Illinois chartered natural person credit union

is not subject to subsections (c) and (d) if it meets all of the

following conditions:


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i) The credit union's total assets are less than $250 million.

ii) The credit union's aggregate amount of outstanding

commercial loan balances and unfunded commitments, plus

any outstanding commercial loan balances and unfunded

commitments of participations sold, plus any outstanding

commercial loan balances and unfunded commitments sold

and serviced by the credit union total less than 15% of the

credit union's net worth.

iii) In a given calendar year the amount of originated and sold

commercial loans the credit union does not continue to

service total less than 15% of the credit union's net worth.

B) This Section does not apply to loans:

i) Made by a corporate credit union, as defined in Section 1.1

of the Act;

ii) Made by a federally insured credit union to another

federally insured credit union;

iii) Made by a credit union to a credit union service

organization, as defined in Section 190.5; or

iv) Fully secured by a lien on a 1 to 4 family residential

property that is a member's primary residence.

3) Other Regulations that Apply

A) As required by section 741.203 of the NCUA regulations (12 CFR

741.203), a federally insured, State chartered credit union must

comply with sections 701.21(c)(8) (prohibited fees) and (d)(5)

(non-preferential loans) (12 CFR 701.21(c)(8) and (d)(5)).

B) When a credit union makes a commercial loan as part of a loan

program in which a federal or state agency (or its political

subdivision) insures repayment, guarantees repayment, or provides


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an advance commitment to purchase the loan in full and that

program has requirements that are less restrictive than those

required by this Section, the credit union may follow the loan

requirements of the relevant guaranteed loan program.

C) The requirements of section 701.22 of the NCUA regulations (12

CFR 701.22) apply to a federally insured credit union's purchase of

a participation interest in a commercial loan.

b) Definitions − For purposes of this Section, the following definitions apply:

1) "Associated borrower" means any other person or entity with a shared

ownership, investment or other pecuniary interest in a business or

commercial endeavor with the borrower. This means any person or entity

named as a borrower or debtor in a loan or extension of credit, or any

other person or entity, such as a drawer, endorser or guarantor, engaged in

a common enterprise with the borrower, or deriving a direct benefit from

the loan to the borrower. Exceptions to this definition for partnerships,

joint ventures and associations are as follows:

A) If the borrower is a partnership, joint venture or association, and

the other person with a shared ownership, investment or other

pecuniary interest in a business or commercial endeavor with the

borrower is a member or partner of the borrower, and neither a

direct benefit nor a common enterprise exists, this other person is

not an associated borrower.

B) If the borrower is a member or partner of a partnership, joint

venture or association, the other entity is not an associated

borrower if:

i) the other entity with a shared ownership, investment or

other pecuniary interest in a business or commercial

endeavor with the borrower is the partnership, joint venture

or association;

ii) the borrower is a limited partner of that other entity; and


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iii) by the terms of a partnership or membership agreement

valid under applicable law, the borrower is not held

generally liable for the debts or actions of that other entity.

C) If the borrower is a member or partner of a partnership, joint

venture or association, the other person is not an associated

borrower if:

i) the other person with a shared ownership, investment or

other pecuniary interest in a business or commercial

endeavor with the borrower is another member or partner

of the partnership, joint venture or association; and

ii) neither a direct benefit nor a common enterprise exists.

2) "Commercial loan" means any loan, line of credit or letter of credit

(including any unfunded commitments), and any interest a credit union

obtains in loans made by another lender, to individuals, sole

proprietorships, partnerships, corporations or other business enterprises for

commercial, industrial, agricultural or professional purposes, but not for

personal expenditure purposes. Excluded from this definition are loans:

A) made by a corporate credit union;

B) made by a federally insured credit union to another federally

insured credit union;

C) made by a credit union to a credit union service organization;

D) made by a credit union not subject to section 107A of the Federal

Credit Union Act (12 USC 1757a) to another credit union;

E) secured by a 1 to 4 family residential property (whether or not it is

the borrower's primary residence);

F) fully secured by shares in the credit union making the extension of

credit or deposits in other financial institutions;

G) secured by a vehicle manufactured for household use; and


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H) that would otherwise meet the definition of commercial loan, when

the aggregate outstanding balances plus unfunded commitments

less any portion secured by shares in the credit union to a borrower

or an associated borrower are less than $50,000.

3) "Common enterprise" means:

A) The expected source of repayment for each loan or extension of

credit is the same for each borrower and no individual borrower

has another source of income from which the loan (together with

the borrower's other obligations) may be fully repaid. An employer

will not be treated as a source of repayment because of wages and

salaries paid to an employee, unless the standards described in

subsection (b)(3)(B) are met;

B) Loans or extensions of credit are made:

i) To borrowers who are related directly or indirectly through

common control, including when one borrower is directly

or indirectly controlled by another borrower; and

ii) Substantial financial interdependence exists between or

among the borrowers. Substantial financial interdependence

means 50% or more of one borrower's gross receipts or

gross expenditures (on an annual basis) are derived from

transactions with another borrower. Gross receipts and

expenditures include gross revenues or expenses,

intercompany loans, dividends, capital contributions and

similar receipts or payments; or

C) Separate borrowers obtain loans or extensions of credit to acquire a

business enterprise of which those borrowers will own more than

50% of the voting securities or voting interests.

4) "Control" means a person or entity directly or indirectly, or acting through

or together with one or more persons or entities:


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A) Owns, controls or has the power to vote 25% or more of any class

of voting securities of another person or entity;

B) Controls, in any manner, the election of a majority of the directors,

trustees or other persons exercising similar functions of another

person or entity; or

C) Has the power to exercise a controlling influence over the

management or policies of another person or entity.

5) "Credit risk rating system" means a formal process that identifies and

assigns a relative credit risk score to each commercial loan in a credit

union's portfolio, using ordinal ratings to represent the degree of risk. The

credit risk score is determined through an evaluation of quantitative

factors based on financial performance and qualitative factors based on

management, operational, market and business environmental factors.

6) "Direct benefit" means the proceeds of a loan or extension of credit to a

borrower, or assets purchased with those proceeds, that are transferred to

another person or entity, other than in a bona fide arm's-length transaction,

when the proceeds are used to acquire property, goods or services.

7) "Financial statement quality" is determined by:

A) The level of assurance provided by the preparer and the required

professional standards supporting the preparer's opinion. In many

cases, tax returns and/or financial statements professionally

prepared in accordance with generally accepted accounting

principles (GAAP) will be sufficient for less complex borrowing

relationships, such as those that are limited to a single operation of

the borrower and principal with relatively low debt. For more

complex and larger borrowing relationships, such as those

involving borrowers or principals with significant loans

outstanding or multiple or interrelated operations, the credit union

should require borrowers and principals to provide either:

i) An auditor's review of the financial statements prepared

consistent with GAAP to obtain limited assurance (i.e., a

"review quality" financial statement); or


18



ii) an independent financial statement audit under generally

accepted auditing standards (GAAS) for the expression of

an opinion on the financial statements prepared in

accordance with GAAP (i.e., an "audit quality" financial

statement).

B) Credit unions should address the criteria and thresholds for the

required financial reporting in their policies. Credit unions should

allow exceptions in their credit policies if they determine the

relationship does not require the same level of assurance and they

are satisfied that the lesser quality still provides them with accurate

reporting of the borrower's financial performance. Credit unions

will be expected to address the issue of exceptions in their loan

policies. Any exception should be documented by credit union

staff and approved by the appropriate designated internal authority.

8) "Immediate family member" means a spouse or other family member

living in the same household.

9) "Loan secured by a 1 to 4 family residential property" means a loan that,

at origination, is secured wholly or substantially by a lien on a 1 to 4

family residential property for which the lien is central to the extension of

the credit; that is, the borrower would not have been extended credit in the

same amount or on terms as favorable without the lien. A loan is wholly or

substantially secured by a lien on a 1 to 4 family residential property if the

estimated value of the real estate collateral at origination (after deducting

any senior liens held by others) is greater than 50% of the principal

amount of the loan.

10) "Loan secured by a vehicle manufactured for household use" means a loan

that, at origination, is secured wholly or substantially by a lien on a new or

used passenger car or other vehicle such as a minivan, sport-utility

vehicle, pickup truck or similar light truck or heavy-duty truck generally

manufactured for personal, family or household use and not used as a fleet

vehicle or to carry fare-paying passengers, for which the lien is central to

the extension of credit. A lien is central to the extension of credit if the

borrower would not have been extended credit in the same amount or on

terms as favorable without the lien. A loan is wholly or substantially


18



secured by a lien on a vehicle manufactured for household use if the

estimated value of the collateral at origination (after deducting any senior

liens held by others) is greater than 50% of the principal amount of the

loan.

11) "Loan-to-value ratio" means, with respect to any item of collateral, the

aggregate amount of all sums borrowed and secured by that collateral,

including outstanding balances plus any unfunded commitment or line of

credit from another lender that is senior to the credit union's lien position,

divided by the current collateral value. The current collateral value must

be established by prudent and accepted commercial lending practices and

comply with all regulatory requirements. For a construction and

development loan, the collateral value is the lesser of cost to complete or

prospective market value, as determined in accordance with subsection (f).

12) "Net worth" means a credit union's net worth, as defined in Section 190.2.

13) "Readily marketable collateral" means a financial instrument or bullion

that is salable under ordinary market conditions with reasonable

promptness at a fair market value determined by quotations based upon

actual transactions on an auction or similarly available daily bid and ask

price market.

14) "Residential property" means a house, condominium unit, cooperative

unit, manufactured home (whether completed or under construction) or

unimproved land zoned for 1 to 4 family residential use. A boat or motor

home, even if used as a primary residence, or timeshare property is not

residential property.

c) Board of Directors and Management Responsibilities

Prior to engaging in commercial lending, a credit union must address the

following board responsibilities and operational requirements:

1) Board of Directors. A credit union's board of directors, at a minimum,

must:

A) Approve a commercial loan policy that complies with subsection

(d). The board must review its policy on an annual basis, prior to

any material change in the credit union's commercial lending


18



program or related organizational structure, and in response to any

material change in portfolio performance or economic conditions,

and update it when warranted.

B) Ensure the credit union appropriately staffs its commercial lending

program in compliance with subsection (c)(2).

C) Understand and remain informed, through periodic briefings from

responsible staff and other methods, about the nature and level of

risk in the credit union's commercial loan portfolio, including its

potential impact on the credit union's earnings and net worth.

2) Required Expertise and Experience. A credit union making, purchasing or

holding any commercial loan must internally possess the following

experience and competencies:

A) Senior Executive Officers. A credit union's senior executive

officers overseeing the commercial lending function must

understand the credit union's commercial lending activities. At a

minimum, senior executive officers must have a comprehensive

understanding of the role of commercial lending in the credit

union's overall business model and establish risk management

processes and controls necessary to safely conduct commercial

lending.

B) Qualified Lending Personnel. A credit union must employ

qualified staff with experience in the following areas:

i) Underwriting and processing for the type of commercial

lending in which the credit union is engaged;

ii) Overseeing and evaluating the performance of a

commercial loan portfolio, including rating and quantifying

risk through a credit risk rating system; and

iii) Conducting collection and loss mitigation activities for the

type of commercial lending in which the credit union is

engaged.


18



C) Options to Meet the Required Experience. A credit union may

meet the experience requirements in subsections (c)(2)(A) and

(c)(2)(B) by conducting internal training and development, hiring

qualified individuals or using a third-party, such as an independent

contractor or a credit union service organization. However, with

respect to the qualified lending personnel requirements in

subsection (c)(2)(B), use of a third-party is permissible only if the

following conditions are met:

i) The third-party has no affiliation or contractual relationship

with the borrower or any associated borrowers;

ii) The actual decision to grant a loan must reside with the

credit union;

iii) Qualified credit union staff exercises ongoing oversight

over the third party by regularly evaluating the quality of

any work the third party performs for the credit union; and

iv) The third-party arrangement must otherwise comply with

subsection (g).

d) Commercial Loan Policy

Prior to engaging in commercial lending, a credit union must adopt and

implement a comprehensive written commercial loan policy and establish

procedures for commercial lending. The board-approved policy must ensure the

credit union's commercial lending activities are performed in a safe and sound

manner by providing for ongoing control, measurement and management of the

credit union's commercial lending activities. At a minimum, a credit union's

commercial loan policy must address each of the following:

1) Type of commercial loans permitted.

2) Trade area.

3) Maximum amount of assets, in relation to net worth, allowed:

A) in secured, unsecured and unguaranteed commercial loans;


18



B) in any given category or type of commercial loan; and

C) to any one borrower or group of associated borrowers, provided:

i) the policy must specify that the aggregate dollar amount of

commercial loans to any one borrower or group of

associated borrowers may not exceed the greater of 15% of

the credit union's net worth or $100,000, plus an additional

10% of the credit union's net worth if the amount that

exceeds the credit union's 15% general limit is fully

secured at all times with a perfected security interest by

readily marketable collateral, as defined in subsection (b);

ii) any insured or guaranteed portion of a commercial loan

made through a program in which a federal or state agency

(or its political subdivision) insures repayment, guarantees

repayment or provides an advance commitment to purchase

the loan in full, is excluded from this limit; and

iii) the maximum limit on commercial loans is in addition to

the secured and unsecured limits established in Sections

190.140 and 190.160; provided, however, in no event shall

all loans to any borrower or group of associated borrowers

exceed in the aggregate 10% of the credit union's

unimpaired capital and surplus.

4) Qualifications and experience requirements for personnel involved in

underwriting, processing, approving, administering and collecting

commercial loans.

5) Loan approval processes, including establishing levels of loan approval

authority commensurate with the individual's or committee's proficiency

in evaluating and understanding commercial loan risk, when considered in

terms of the level of risk the borrowing relationship poses to the credit

union.

6) Underwriting standards commensurate with the size, scope and

complexity of the commercial lending activities and borrowing


18



relationships contemplated. The standards must, at a minimum, address

the following:

A) The level and depth of financial analysis necessary to evaluate the

financial trends and condition of the borrower and the ability of the

borrower to meet debt service requirements;

B) Thorough due diligence of the principals to determine whether any

related interests of the principals might have a negative impact or

place an undue burden on the borrower and related interests with

regard to meeting the debt obligations with the credit union;

C) Requirements of a borrower-prepared projection when historic

performance does not support projected debt payments. The

projection must be supported by reasonable rationale and, at a

minimum, must include a projected balance sheet and income and

expense statement;

D) The financial statement quality and the degree of verification

sufficient to support an accurate financial analysis and risk

assessment;

E) The methods to be used in collateral evaluation, for all types of

collateral authorized, including loan-to-value ratio limits. These

methods must be appropriate for the particular type of collateral.

The means to secure various types of collateral, and the measures

taken for environmental due diligence, must also be appropriate for

all authorized collateral; and

F) Other appropriate risk assessment, including analysis of the impact

of current market conditions on the borrower and associated

borrowers.

7) Risk management processes commensurate with the size, scope and

complexity of the credit union's commercial lending activities and

borrowing relationships. These processes must, at a minimum, address the

following:


18



A) Use of loan covenants, if appropriate, including frequency of

borrower and guarantor financial reporting;

B) Periodic loan review, consistent with loan covenants, sufficient to

conduct portfolio risk management. This review must include a

periodic reevaluation of the value and marketability of any

collateral;

C) A credit risk rating system. Credit risk ratings must be assigned to

commercial loans at inception and reviewed as frequently as

necessary to satisfy the credit union's risk monitoring and reporting

policies and to ensure adequate reserves as required by GAAP; and

D) A process to identify, report and monitor loans approved as

exceptions to the credit union's loan policy.

e) Collateral and Security

1) A credit union must require collateral commensurate with the level of risk

associated with the size and type of any commercial loan. Collateral must

be sufficient to ensure adequate loan balance protection, along with

appropriate risk sharing with the borrower and principals. A credit union

making an unsecured loan must determine and document in the loan file

that mitigating factors sufficiently offset the relevant risk.

2) A credit union that does not require the full and unconditional personal

guarantee from the principals of the borrower who has a controlling

interest in the borrower must determine and document in the loan file that

mitigating factors sufficiently offset the relevant risk.

f) Construction and Development Loans

In addition to the requirements of subsections (a) through (e), the following

requirements apply to a construction and development loan made by any credit

union.

1) For the purposes of this subsection (f), a construction or development loan

means any financing arrangement enabling the borrower to acquire

property or rights to property, including land or structures, with the intent

to construct or renovate an income producing property, such as residential


18



housing for rental or sale, or a commercial building, such as may be used

for commercial, agricultural, industrial or other similar purposes. It also

means a financing arrangement for the construction, major expansion or

renovation of the property types referenced in this subsection (f). The

collateral valuation for securing a construction or development loan

depends on the satisfactory completion of the proposed construction or

renovation when the loan proceeds are disbursed in increments as the

work is completed. A loan to finance maintenance, repairs or

improvements to an existing income producing property that does not

change its use or materially impact the property is not a construction or

development loan.

2) A credit union that elects to make a construction or development loan

must ensure that its commercial loan policy includes adequate provisions

by which the collateral value associated with the project is properly

determined and established. For a construction or development loan,

collateral value is the lesser of the project's cost to complete or its

prospective market value.

A) For the purposes of this subsection (f), "cost to complete" means

the sum of all qualifying costs necessary to complete a

construction project and documented in an approved construction

budget. Qualifying costs generally include on-site or off-site

improvements, building construction, other reasonable and

customary costs paid to construct or improve a project, including

general contractor's fees, and other expenses normally included in

a construction contract, such as bonding and contractor insurance.

Qualifying costs include the value of the land, determined as the

lesser of appraised market value or purchase price plus the cost of

any improvements. Qualifying costs also include interest, a

contingency account to fund unanticipated overruns, and other

development costs such as fees and related pre-development

expenses. Interest expense is a qualifying cost only to the extent it

is included in the construction budget and is calculated based on

the projected changes in the loan balance up to the expected "as-

complete" date for owner-occupied non-income producing

commercial real estate or the "as-stabilized" date for income

producing real estate. Project costs for related parties, such as

developer fees, leasing expenses, brokerage commissions and


18



management fees, are included in qualifying costs only if

reasonable in comparison to the cost of similar services from a

third party. Qualifying costs exclude interest or preferred returns

payable to equity partners or subordinated debt holders, the

developer's general corporate overhead, and selling costs to be

funded out of sales proceeds, such as brokerage commissions and

other closing costs.

B) For the purposes of this subsection (f), "prospective market value"

means the market value opinion determined by an independent

appraiser in compliance with the relevant standards set forth in the

USPAP. Prospective value opinions are intended to reflect the

current expectations and perceptions of market participants, based

on available data. Two prospective value opinions may be required

to reflect the time frame during which development, construction

and occupancy occur. The prospective market value "as-

completed" reflects the property's market value as of the time that

development is to be completed. The prospective market value "as-

stabilized" reflects the property's market value as of the time the

property is projected to achieve stabilized occupancy. For an

income producing property, stabilized occupancy is the occupancy

level that a property is expected to achieve after the property is

exposed to the market for lease over a reasonable period of time

and at comparable terms and conditions to other similar properties.

3) A credit union that elects to make a construction and development loan

must also assure its commercial loan policy meets the following

conditions:

A) Qualified personnel representing the interests of the credit union

must conduct a review and approval of any line item construction

budget prior to closing the loan;

B) A credit union approved requisition and loan disbursement process

is established;

C) Release or disbursement of loan funds occurs only after on-site

inspections, documented in a written report by qualified personnel

representing the interests of the credit union, certifying that the


18



work requisitioned for payment has been satisfactorily completed,

and the remaining funds available to be disbursed from the

construction and development loan are sufficient to complete the

project; and

D) Each loan disbursement is subject to confirmation that no

intervening liens have been filed.

g) Prohibited Activities

1) Ineligible Borrowers. A credit union shall not grant a commercial loan to

the following:

A) Any senior management employee directly or indirectly involved

in the credit union's commercial loan underwriting, servicing and

collection process, and any of their immediate family members;

B) Any person meeting the definition of an associated borrower with

respect to persons identified in subsection (g)(1)(A); or

C) Any compensated director, unless the credit union's board of

directors approves granting the loan and the compensated director

was recused from the board's decision making process.

2) Equity Agreements/Joint Ventures. A credit union shall not grant a

commercial loan if any additional income received by the credit union or

its senior management employees is tied to the profit or sale of any

business or commercial endeavor that benefits from the proceeds of the

loan.

3) Conflicts of Interest. Any third party used by a credit union to meet the

requirements of this Section must be independent from the commercial

loan transaction and shall not have a participation interest in a loan or an

interest in any collateral securing a loan that the third party is responsible

for reviewing, or an expectation of receiving compensation of any sort that

is contingent on the closing of the loan, with the following exceptions:

A) A third party may provide a service to the credit union that is

related to the transaction, such as loan servicing.


18



B) The third party may provide the requisite experience to a credit

union and purchase a loan or a participation interest in a loan

originated by the credit union that the third party reviewed.

C) A credit union may use the services of a credit union service

organization that otherwise meets the requirements of subsection

(c)(2)(C) even if the credit union service organization is not

independent from the transaction, provided the credit union has a

controlling financial interest in the credit union service

organization as determined under GAAP.

h) Aggregate Member Business Loan Limit; Exclusions and Exceptions

This subsection (h) incorporates the statutory limits on the aggregate amount of

member business loans that may be held by a federally insured credit union and

establishes the method for calculating a federally insured credit union's net

member business loan balance for purposes of the statutory limits and NCUA

form 5300 reporting.

1) Statutory Limits. The aggregate limit on a federally insured credit union's

net member business loan balances is the lesser of 1.75 times the actual

net worth of the credit union, or 1.75 times the minimum net worth

required under section 1790d(c)(l)(A) of the Federal Credit Union Act (12

USC 1790d(c)(1)(A)).

2) Definition. For the purposes of this subsection (h), "member business

loan" means any commercial loan as defined in subsection (b), except that

the following commercial loans are not member business loans and are not

counted toward the aggregate limit on a federally insured credit union's

member business loans:

A) Any loan in which a federal or state agency (or its political

subdivision) fully insures repayment, fully guarantees repayment,

or provides an advance commitment to purchase the loan in full;

and

B) Any non-member commercial loan or non-member participation

interest in a commercial loan made by another lender, provided the

federally insured credit union acquired the non-member loans and


18



participation interests in compliance with all relevant laws and

regulations and is not, in conjunction with one or more other credit

unions, trading member business loans to circumvent the aggregate

limit; and.

C) Any loan that is fully secured by a lien on a 1 to 4 family dwelling.

3) Exceptions. Any loan secured by a lien on a 1 to 4 family residential

property that is not a member's primary residence, and any loan secured by

a vehicle manufactured for household use that will be used for a

commercial, corporate or other business investment property or venture, or

agricultural purpose, is not a commercial loan but is a member business

loan (if the outstanding aggregate net member business loan balance is

equal to or greater than $50,000) and must be counted toward the

aggregate limit on a federally insured credit union's member business

loans.

4) Statutory Exemptions. A federally insured credit union that has a low-

income designation, or participates in the U.S. Department of the

Treasury's Community Development Financial Institutions Program, or

was chartered for the purpose of making member business loans, or that as

of the date of enactment of the Credit Union Membership Access Act of

1998 (P.L. 105-219), had a history of primarily making commercial loans,

is exempt from compliance with the aggregate member business loan

limits in this subsection (h).

5) Method of Calculation for Net Member Business Loan Balance. For the

purposes of NCUA form 5300 reporting, a federally insured credit union's

net member business loan balance is determined by calculating the

outstanding loan balance plus any unfunded commitments, reduced by any

portion of the loan that is:

A) secured by shares in the credit union;

B) secured by shares or deposits in other financial institutions;

C) secured by a lien on a member's primary residence;


18



D) insured or guaranteed by any agency of the federal government, a

state or any political subdivision of that state;

E) subject to an advance commitment to purchase by any agency of

the federal government, a state or any political subdivision of that

state; or

F) sold as a participation interest without recourse and qualifying for

true sales accounting under GAAP.

i) Transitional Provisions

This subsection (i) governs circumstances in which, as of January 1, 2017, a credit

union is operating in accordance with an approved waiver from the Division or

NCUA or is subject to any enforcement constraint relative to its commercial

lending activities.

1) Waivers. As of January 1, 2017, any waiver approved by the Division or

NCUA concerning a credit union's commercial lending activity is rendered

moot, except that waivers granted prior to January 1, 2017, for borrowing

relationships (loans made to one borrower or group of associated

borrowers), will be grandfathered. However, the debt associated with

those relationships may not be increased.

2) Enforcement Constraints. Limitations or other conditions imposed on a

credit union in any written directive from the Division or NCUA,

including, but not limited to, items specified in any Document of

Resolution, any published or unpublished Letter of Understanding and

Agreement, Regional Director Letter, Preliminary Warning Letter, or

formal enforcement action, are unaffected by the adoption of this

Section. Included within this subsection (i)(2) are any constraints or

conditions embedded within any waiver issued by the Division or NCUA.

As of January 1, 2017, all these limitations or other conditions remain in

place until they are modified by the Division or NCUA.

j) Allowance for Loan Losses for Business Loans

Allowance for loan losses for business loans will be determined in accordance

with GAAP. The external auditor conducting the credit union's financial statement

audit shall analyze the methodology employed by the credit union and conclude


18



that the financial statements, including the allowance for loan losses, are fairly

stated in all material respects in accordance with GAAP.

(Source: Amended at 42 Ill. Reg. ______, effective ____________)


18

DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES


1) Heading of the Part: Specialized Health Care Delivery Systems



146.910 Amendment

4) Statutory Authority: Section 12-13 of the Illinois Public Aid Code [305 ILCS 5/12-13]

5) Complete Description of the Subjects and Issues Involved: This proposed amendment

implements PA 100-587 by increasing the reimbursement rate under the Medical

Assistance Program for facilities licensed under Specialized Mental Health Rehabilitation

Act of 2013 by 4% and creating a therapeutic visit reimbursement rate under the Medical

Assistance Program for facilities licensed or provisionally licensed under the Specialized

Mental Health Rehabilitation Act of 2013 on or before June 1, 2018.

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

rulemaking: None

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



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

Section Number: Proposed Action: Illinois Register Citation:

146.130 Amendment 42 Ill. Reg. 13413; July 13, 2018

11) Statement of Statewide Policy Objective: This rulemaking does not affect units of local

government.

12) Time, Place, and Manner in Which Interested Persons May Comment on this Proposed

Rulemaking: Any interested parties may submit comments, data, views, or arguments

concerning this proposed rulemaking. All comments must be in writing and should be

addressed to:

Christopher Gange


18



Acting General Counsel

Illinois Department of Healthcare and Family Services

201 South Grand Avenue East, 3rd Floor

Springfield IL 62763-0002

[email protected]

The Department requests the submission of written comments within 45 days after the

publication of this Notice. The Department will consider all written comments it receives

during the First Notice period as required by Section 5-40 of the Illinois Administrative

Procedure Act [5 ILCS 100/5-40].



affected: None



14) Regulatory Agenda on which this rulemaking was summarized: July 2018



18



TITLE 89: SOCIAL SERVICES

CHAPTER I: DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES

SUBCHAPTER d: MEDICAL PROGRAMS

PART 146

SPECIALIZED HEALTH CARE DELIVERY SYSTEMS

SUBPART A: AMBULATORY SURGICAL TREATMENT CENTERS

Section

146.100 General Description

146.105 Definitions

146.110 Participation Requirements

146.115 Records and Data Reporting Requirements

146.125 Covered Ambulatory Surgical Treatment Center Services

146.130 Reimbursement for Services

SUBPART B: SUPPORTIVE LIVING FACILITIES

Section


146.205 Definitions

146.210 Structural Requirements

146.215 SLF Participation Requirements

146.220 Resident Participation Requirements

146.225 Reimbursement for Medicaid Residents

146.230 Services

146.235 Staffing

146.240 Resident Contract

146.245 Assessment and Service Plan and Quarterly Evaluation

146.250 Resident Rights

146.255 Discharge

146.260 Grievance Procedure

146.265 Records and Reporting Requirements

146.270 Quality Assurance Plan

146.275 Monitoring

146.280 Non-Compliance Action

146.285 Voluntary Surrender of Certification

146.290 Geographic Groups


18



146.295 Emergency Contingency Plan

146.300 Waivers

146.305 Reporting of Suspected Abuse, Neglect and Financial Exploitation

146.310 Facility Management of Resident Funds

SUBPART C: STATE HEMOPHILIA PROGRAM

Section

146.400 Definitions

146.410 Patient Eligibility

146.420 Hemophilia Treatment Centers

146.430 Comprehensive Care Evaluation

146.440 Home Transfusion Arrangements

146.450 Obligations of the Department

SUBPART D: CHILDREN'S COMMUNITY-BASED HEALTH CARE CENTERS

Section


146.510 Definitions



146.540 Covered Children's Community-Based Health Care Center Services


146.560 Individuals Eligible for Services Provided in a Children's Community-Based

Health Care Center

146.570 Prior and Post Approval of Services

SUBPART E: SUPPORTIVE LIVING FACILITIES WITH DEMENTIA CARE UNITS

Section





146.640 Services


146.660 Staffing



18



146.680 Monitoring

146.690 Reporting Requirements


146.710 Discharge

SUBPART F: BIRTH CENTERS

Section



146.820 Record Requirements

146.830 Covered Birth Center Services

146.840 Reimbursement of Birth Center Services

SUBPART G: SPECIALIZED MENTAL HEALTH REHABILITATION FACILITIES

Section

146.900 General Provisions

146.910 Reimbursement

AUTHORITY: Implementing and authorized by Articles III, IV, V, VI and Section 12-13 of the

Illinois Public Aid Code [305 ILCS 5/Arts. III, IV, V, VI and 12-13].

SOURCE: Old Part repealed at 14 Ill. Reg. 13800, effective August 15, 1990; new Part adopted

at 20 Ill. Reg. 4419, effective February 29, 1996; emergency amendment at 21 Ill. Reg. 13875,

effective October 1, 1997, for a maximum of 150 days; amended at 22 Ill. Reg. 4430, effective

February 27, 1998; emergency amendment at 22 Ill. Reg. 13146, effective July 1, 1998, for a

maximum of 150 days; amended at 22 Ill. Reg. 19914, effective October 30, 1998; amended at

23 Ill. Reg. 5819, effective April 30, 1999; emergency amendment at 23 Ill. Reg. 8256, effective

July 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 13663, effective November 1,

1999; amended at 24 Ill. Reg. 8353, effective June 1, 2000; emergency amendment at 26 Ill. Reg.

14882, effective October 1, 2002, for a maximum of 150 days; amended at 27 Ill. Reg. 2176,

effective February 1, 2003; emergency amendment at 27 Ill. Reg. 10854, effective July 1, 2003,

for a maximum of 150 days; amended at 27 Ill. Reg. 18671, effective November 26, 2003;

emergency amendment at 28 Ill. Reg. 12218, effective August 11, 2004, for a maximum of 150

days; emergency amendment at 28 Ill. Reg. 14214, effective October 18, 2004, for a maximum

of 150 days; amended at 29 Ill. Reg. 852, effective January 1, 2005; emergency amendment at 29

Ill. Reg. 2014, effective January 21, 2005, for a maximum of 150 days; amended at 29 Ill. Reg.

4360, effective March 7, 2005; expedited correction at 29 Ill. Reg. 14127, effective March 7,


18



2005; amended at 29 Ill. Reg. 6967, effective May 1, 2005; amended at 29 Ill. Reg. 14987,

effective September 30, 2005; amended at 30 Ill. Reg. 8845, effective May 1, 2006; amended at


April 1, 2007, for a maximum of 150 days; amended at 31 Ill. Reg. 11681, effective August 1,

2007; amended at 33 Ill. Reg. 11803, effective August 1, 2009; emergency amendment at 36 Ill.

Reg. 6751, effective April 13, 2012, for a maximum of 150 days; amended at 36 Ill. Reg. 13885,

effective August 27, 2012; amended at 37 Ill. Reg. 17624, effective October 28, 2013; expedited

correction at 38 Ill. Reg. 4518, effective October 28, 2013; amended at 38 Ill. Reg. 13255,

effective June 11, 2014; amended at 38 Ill. Reg. 13893, effective June 23, 2014; amended at 38

Ill. Reg. 15152, effective July 2, 2014; emergency amendment at 38 Ill. Reg. 15713, effective

July 7, 2014, for a maximum of 150 days; amended at 38 Ill. Reg. 23768, effective December 2,

2014; emergency amendment at 39 Ill. Reg. 6945, effective May 1, 2015 through June 30, 2015;

emergency amendment at 42 Ill. Reg. 13733, effective July 2, 2018, for a maximum of 150 days;

emergency amendment to emergency rule at 42 Ill. Reg. 16311, effective August 13, 2018, for

the remainder of the 150 days; amended at 42 Ill. Reg. 16731, effective August 28, 2018;

emergency amendment at 42 Ill. Reg. ______, effective September 24, 2018, for a maximum of

150 days; amended at 42 Ill. Reg. ______, effective ____________.


Section 146.910 Reimbursement

a) Facilities licensed under Specialized Mental Health Rehabilitation Act of 2013

shall be reimbursed at:

1) the rate in effect on June 30, 2014, less $7.07 for each facility previously

licensed under the Nursing Home Care Act on June 30, 2013;

2) the rate in effect on June 30, 2013 for each facility licensed under the

Specialized Mental Health Rehabilitation Act on June 30, 2013; or

3) effective for services provided on or after July 1, 2017, the rate in effect

on June 30, 2017 increased by 2.8%; or.


on June 30, 2018 increased by 4%.

b) Any adjustment in the support component or the capital component for facilities

licensed by the Department of Public Health under the Nursing Home Care Act


18



shall apply equally to facilities licensed by the Department of Public Health under

the Specialized Mental Health Rehabilitation Act of 2013.

c) Notwithstanding the provisions set forth in 89 Ill. Adm. Code 153, facilities

licensed under the Specialized Mental Health Rehabilitation Act of 2013 shall

receive a payment in the amount of $29.43 per licensed bed, per day, for the

period beginning June 1, 2014 and ending June 30, 2014.

d) Facilities licensed or provisionally licensed under the Specialized Mental Health

Rehabilitation Act of 2013 on or before June 1, 2018 will be reimbursed for

therapeutic visits that have been indicated by an interdisciplinary team as

therapeutically beneficial at the following:

1) Effective for dates of service June 4, 2018 through July 26, 2018,

therapeutic visits are reimbursed at a rate of 75% of the facility's rate as of

June 4, 2018.

2) Effective for dates of service on or after July 27, 2018, therapeutic visits

are reimbursed at a rate of 75% of the facility's rate as of July 27, 2018.

3) Facilities may not be reimbursed for more than 10 consecutive days of

therapeutic visits and no more than 20 days of therapeutic visits per State

Fiscal year.



18

DEPARTMENT OF INSURANCE

NOTICE OF PROPOSED AMENDMENTS

1) Heading of the Part: Prior Notification of Transactions



654.10 Amendment

654.20 Amendment

654.30 Amendment

654.40 Amendment

654.50 New Section

654.ILLUSTRATION A Amendment

4) Statutory Authority: Implementing Article VIII ½ and authorized by Sections 131.20a(1)

and 401 of the Illinois Insurance Code [215 ILCS 5/VIII ½, 131.20a(1) 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.

Proposed changes to Part 654 are based on updated requirements of the Model Law.

Section 654.30 provides significant new requirements for provisions to be included in

affiliated cost sharing and management agreements and also minimum requirements for

tax allocation agreements. New Section 654.50 adds a severability clause to the rule. The

654 Illustration of a Form D-1 includes updated additional informational requests for

affiliated transactions, an updated requirement for affiliated reinsurance transactions (the

Model Law excludes some affiliated reinsurance agreements that are considered

immaterial) and the addition of tax allocation agreements.

The proposed amendments also add definitions of "Code," "Department," and "Director"

to facilitate the economical use of language throughout this Part.


used when comprising this rulemaking, in accordance with 1 Ill. Adm. Code 100.355:

None




18








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

rulemaking: Persons who wish to comment on this proposed rulemaking may submit

written comments no later than 45 days after the publication of this Notice to:

Robert Planthold or Susan Anders

Assistant General Counsel Rules Coordinator

Illinois Department of Insurance Illinois Department of Insurance

122 S. Michigan Ave, 19th Fl 320 W. Washington St.

Chicago IL 60603 Springfield IL 62767

312/814-5445 217/558-0957

fax: 312/814-2862



affected: None

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

for filing Form D-1, Prior Notice of a Transaction, with the Department of

Insurance


14) Regulatory Agenda on which this rulemaking was summarized: January 2018

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


18



TITLE 50: INSURANCE

CHAPTER I: DEPARTMENT OF INSURANCE

SUBCHAPTER g: INSURANCE HOLDING COMPANY SYSTEMS

PART 654

PRIOR NOTIFICATION OF TRANSACTIONS

Section

654.10 Purpose

654.20 Definitions

654.30 Prior Notification of Transactions – Required Information

654.40 Penalties

654.50 Severability Provision

654.ILLUSTRATION A Form D-1

AUTHORITY: Implementing Article VIII½ and authorized by Sections 131.20a(1) and 401 of

the Illinois Insurance Code [215 ILCS 5].

SOURCE: Emergency rule adopted at 10 Ill. Reg. 2105, effective January 1, 1986, for a

maximum of 150 days; adopted at 10 Ill. Reg. 17168, effective October 1, 1986; emergency

amendment at 17 Ill. Reg. 21198, effective November 30, 1993, for a maximum of 150 days;

amended at 18 Ill. Reg. 6176, effective April 6, 1994; 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 854 to 50 Ill. Adm. Code 654 at 41 Ill. Reg. 145; amended at

42 Ill. Reg. ______, effective ____________.

Section 654.10 Purpose

The purpose of this Part is to describe thethat information thatwhich must be provided by a

domestic company to notify the Director of certain transactions pursuant to Section 131.20a(1) of

the Illinois InsuranceCode [215 ILCS 5/131.20a(1)].


Section 654.20 Definitions


18



Terms found in this Part, other than those defined in this Section, are used as defined in Section

131.1 of the Code.

"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 the foregoing officers).


Section 654.30 Prior Notification of Transactions – Required Information

a) Any domestic company required, pursuant to Section 131.20a(1) of the Illinois

Insurance Code, to notify the Director of a transaction between it and any person

in its holding company system shall notify the Director of the transaction in

writing at least 30 days prior to entering into thesuch transaction. TheSuch notice

shall be deemed incomplete unless it includes all the information required by this

Part has been included therein.

b) The Director shall, within the 30 day period, disapprove thesuch transactions if

the standards as contained in Section 131.20 of the Illinois Insurance Code [215

ILCS 5/131.20] have not been met.

c) The domestic company shall provide to the Director the information required by,

and in the format specified by, Form D-1 which is Illustration A to this Part.

d) Transactions Subject to Prior Notice – Notice FilingThe notification shall be

directed to the Deputy Director of the Financial-Corporate Regulatory Division of

the Illinois Department of Insurance, Springfield, Illinois 62767.


18



1) An insurer required to give notice of a proposed transaction pursuant to

Section 131.20a(1) of the Code shall furnish the required information on

Form D-1.

2) Agreements for cost sharing services and management services shall, at a

minimum and as applicable:

A) Identify the person providing services and the nature of those

services;

B) Set forth the methods to allocate costs;

C) Require timely settlement, not less frequently than on a quarterly

basis, and compliance with the most current requirements of the

National Association of Insurance Commissioners (NAIC)

Accounting Practices and Procedures Manual;

D) Prohibit advancement of funds by the insurer to the affiliate except

to pay for services defined in the agreement;

E) State that the insurer will maintain oversight for functions provided

to the insurer by the affiliate and that the insurer will monitor

services annually for quality assurance;

F) Define books and records of the insurer to include all books and

records developed or maintained under or related to the agreement;

G) Specify that all books and records of the insurer are and remain the

property of the insurer, are subject to control of the insurer, and

will be made available to the Director;

H) State that all funds and invested assets of the insurer are the

exclusive property of the insurer, are held for the benefit of the

insurer, and are subject to the control of the insurer;

I) Include standards for termination of the agreement, with and

without cause;


18



J) Include provisions for indemnification of the insurer in the event of

gross negligence or willful misconduct on the part of the affiliate

providing the services;

K) Specify that, if the insurer is placed in receivership or seized by the

Director under Article XIII of the Code:

i) all of the rights of the insurer under the agreement extend

to the receiver or Director; and

ii) all books and records will immediately be made available

to the receiver or the Director, and shall be turned over to

the receiver or Director immediately upon the receiver's or

the Director's request;

L) Specify that the affiliate has no automatic right to terminate the

agreement if the insurer is placed in receivership pursuant to

Article XIII of the Code; and

M) Specify that the affiliate will continue to maintain any systems,

programs, or other infrastructure notwithstanding a seizure

pursuant to Article XIII of the Code, and will make them available

to the receiver for as long as the affiliate continues to receive

timely payment for services rendered.


Section 654.40 Penalties

Failure of a company to timely file the report required by this Part and Section 131.20a of the

Illinois Insurance Code [215 ILCS 5/131.20a] shall subject the company to the provisions of

Sections 131.24 and 403A of the Illinois Insurance Code [215 ILCS 5/131.24 and 403A].


Section 654.50 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 Section


18



or Part or the applicability of the provision to other persons or circumstances shall not be

affected by that determination of invalidity.

(Source: Added at 42 Ill. Reg. ______, effective ____________)


18



Section 654.ILLUSTRATION A Form D-1

FORM D-1

GENERAL INSTRUCTIONS

A. Signature and Certification

For purposes of filing the Form D-1, the signature and certification required by

this Part shall be signed by an executive officer of the insurer requesting the

Director's approval.

B. Copy of the Transaction Agreement

A copy of the proposed transaction agreement shall be attached to the Form D-1

filing as Exhibit A. If the agreement is in other than final form, it shall be so

identified.

PRIOR NOTICE OF A TRANSACTION

Filed with the Insurance Department of the State of Illinois

By

Name of Domestic Company

On Behalf of the 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:


18



Item 1. Identity of Parties to the Transaction

Furnish the following information for each of the parties to the transaction:

a) Name.

b) Home office addressOffice Address.

c) Principal executive office address.

d) The organizational structure, i.e. corporation, partnership, individual, trust, etc.

e) A description of the nature of the parties' business operations.

f) Relationship, if any, of other parties to the transaction to the insurer filing the

notice, including any ownership or debtor/creditor interest by any other parties to

the transaction in the insurer seeking approval, or by the insurer filing the notice

in the affiliated parties.

g) WhenWhere the transaction is with a non-affiliate, the namesname(s) of the

affiliates thataffiliate(s) which will receive, in whole or in substantial part, the

proceeds of the proposed transaction. For purposes of this subsection, "substantial

part" means an amount thatwhich would trigger disclosure if given directly to the

affiliate.

Item 2. Description of the Transaction

Furnish the following information for each transaction for which notice is being given:

a) A statement as to whether notice is being given under Section 131.20a(1)(a)(i),

(ii), (iii), (iv), or (v) of the Illinois Insurance Code. At the time of adoption of this

rulemaking, the Department has not adopted a rule under subsection (v) above.

b) A brief description of the nature and purpose of the transaction.


18



c) A statement of how the transaction meets the "fair and reasonable" standard of

Section 131.20(1)(a) of the Illinois Insurance Code; and

dc) The proposed effective date of the transaction.

Item 3. Sales, Purchases, Exchanges, Loans, Extensions of Credit, Guarantees, or

Investments.

a) Furnish a brief description of the amount and source of funds, securities, property

or other consideration for the sale, purchase, exchange, loan, extension of credit,

guarantee, or investment, whether any provision exists for purchase by the insurer

filing notice, by any party to the transaction, or by any affiliate of the insurer

filing notice, a description of the terms of any securities being received, and a

description of any other agreements relating to the transaction such as contracts or

agreements for services, consulting agreements and the like. If the transaction

involves other than cash, furnish a description of the consideration, its cost and its

fair market value, together with an explanation of the basis for evaluation.

b) If the transaction involves a loan, extension of credit or a guarantee, furnish a

description of the maximum amount thatwhich the insurer will be obligated to

make available under thesuch loan, extension of credit or guarantee, the date on

which the credit or guarantee will terminate, and any provisions for the accrual of

or deferral of interest.

c) If borrowed funds are to be used by the insurer, identify the lender, any collateral

requirements, interest due dates, interest rates, and principal payment due date.

d) If the transaction involves an investment, guarantee or other arrangement, state

the time period during which the investment, guarantee or other arrangement will

remain in effect, together with any provisions for extensions or renewals of

thosesuch investments, guarantees or arrangements. Furnish a brief statement as

to the effect of the transaction upon the insurer's surplus.

Item 4. Loans or Extensions of Credit to a Non-Affiliate

If the transaction involves a loan or extension of credit to any person who is not an affiliate,

furnish a brief description of the agreement or understanding by whichwhereby the proceeds of

the proposed transaction, in whole or in substantial part, are to be used to make loans or

extensions of credit to, to purchase the assets of, or to make investments in, any affiliate of the


18



insurer making thosesuch loans or extensions of credit, and specify in what manner the proceeds

are to be used to loan to, extend credit to, purchase assets of, or make investments in any

affiliate. Describe the amount and source of funds, securities, property or other consideration for

the loan or extension of credit and, if the transaction is one involving consideration other than

cash, a description of its cost and its fair market value, together with an explanation of the basis

for evaluation. Furnish a brief statement as to the effect of the transaction upon the insurer's

surplus.

Item 5. Reinsurance

a) If the transaction is a reinsurance agreement or modification to that

agreementthereto, or a reinsurance pooling agreement or modification to that

agreement, furnish a description of the known and/or estimated amount of liability

to be ceded and/or assumed in each calendar year, the period of time during which

the agreement will be in effect, and a description of any agreement or

understanding that exists between the insurer and a non-affiliate to the effect that

any portion of the assets constituting the consideration for the agreement will be

transferred to one or more of the insurer's affiliates. Furnish a brief description of

the consideration involved in the transaction, and a brief statement as to the effect

of the transaction upon the insurer's surplus.

b) No notice need be given for reinsurance agreements or modifications to those

agreements if the insurance premium or a change in the insurer's liabilities, or the

projected reinsurance premium or change in the insurer's liabilities in any of the

next three years, in connection with the reinsurance agreement or modification is

less than 5% of the insurer's surplus as regards policyholders, as of the December

31 next preceding. Notice shall be given for all reinsurance pooling agreements,

including modifications.

Item 6. Management Agreements, Service Agreements, and Cost Sharing Arrangements

and Tax Allocation AgreementsArrangements.

For management and service agreements, furnish:

a) a brief description of the managerial responsibilities, or services to be performed;

and.

b) a brief description of the agreement, including a statement of its duration, together

with brief descriptions of the basis for compensation and the terms under which


18



payment or compensation is to be made.

For cost-sharing arrangements, furnish:

a) a brief description of the purpose of the agreement;.

b) a description of the period of time during which the agreement is to be in effect;.

c) a brief description of each party's expenses or costs covered by the agreement;.

d) a brief description of the accounting basis to be used in calculating each party's

cost under the agreement;.

e) a brief statement as to the effect of the transaction upon the insurer's policyholder

surplus;

f) a statement regarding the cost allocation methods that specifies whether proposed

charges are based on "cost or market". If market based, include the rationale for

using market instead of cost, including justification for the company's

determination that amounts are fair and reasonable; and

g) a statement regarding compliance with the NAIC Accounting Practices and

Procedure Manual pertaining to expense allocation.

For tax allocation agreements, furnish:

a) a description of the tax allocation method to be used; and

b) a statement regarding compliance with the NAIC Accounting Practices and

Procedure Manual regarding the tax allocation agreement.

Pursuant to the requirements of Section 131.20a 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 .


18



Name of Requesting Insurer

By

(Name) (Title)

Attest:

(Signature of Officer)

(Title)

CERTIFICATION

The undersigned deposes and says that (s)he has duly executed the attached notice dated

, 20 , for and on behalf of ; that (s)he is the

(Name of Insurer)

of such company and that (s)he is authorized to execute and file such (Title of Officer)

instrument. Deponent further says that (s)he is familiar with such instrument and the contents

thereof, and that the facts therein set forth are true to the best of his/her knowledge, information

and belief.

(Signature)

(Type or print name beneath)



18



1) Heading of the Part: Internal Security Standard and Fidelity Bonds



904.5 Amendment

904.7 New Section

904.10 Amendment

904.20 Amendment

4) Statutory Authority: Implementing and authorized by Section 401 of the Illinois

Insurance Code [215 ILCS 5/401].

5) A Complete Description of the Subjects and Issues Involved: The proposed change to

Section 904.20 is being made to adjust to the higher volume of securities transactions in

which companies, especially larger companies, engage nowadays. Currently, the rule

requires every instrument for the sale of securities and every check for the purchase of

securities to be signed by two officers or other authorized employees. Today's high

volume of securities transactions makes that standard unduly burdensome for some

companies.

To ensure that there remains accountability for companies' securities transactions, the

Department proposes this amendment to offer companies a choice between adhering to

the current signature standard or devising their own policies, procedures, and controls

such that the same individual does not authorize, record, and reconcile these transactions.

Companies opting to adopt their own procedures would be required to show those

procedures to the Department during examinations and to maintain documentation of

which individuals have authority to approve securities transactions.

The proposed amendments also add Section 904.7 Definitions to define terms used

throughout the Part for the sake of economical and clear use of language. Additional

nonsubstantive changes for stylistic improvement are also included.



None



18







904.50 Amendment 42 Ill. Reg. 53; January 5, 2018

11) Statement of Statewide Policy Objective : This rulemaking will not require a local











312/814-5445 217/558-0957

fax: 312/814-2862


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

corporations affected: None

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

that opt to adopt their own policies, procedures, and controls under Section

904.20(b) will need to maintain documentation of those procedures and which

individuals have the authority to approve securities transactions.



18






18



TITLE 50: INSURANCE


SUBCHAPTER l: PROVISIONS APPLICABLE TO ALL COMPANIES

PART 904

INTERNAL SECURITY STANDARD AND FIDELITY BONDS

Section

904.5 Authority and Purpose

904.7 Definitions

904.10 Registration of Securities

904.20 Custody, Care and Disposition of Securities

904.30 Signature of Checks – Facsimile Signatures

904.40 Bank Balance Verification

904.50 Bond Requirements

AUTHORITY: Implementing and authorized by Section 401 of the Illinois Insurance Code

[215 ILCS 5].

SOURCE: Filed October 15, 1971; amended at 2 Ill. Reg. 29, p. 161, effective July 17, 1978;

codified at 6 Ill. Reg. 12461; amended at 16 Ill. Reg. 12561, effective July 27, 1992; amended at

17 Ill. Reg. 15584, effective September 14, 1993; amended at 30 Ill. Reg. 337, effective

December 29, 2005; amended at 36 Ill. Reg. 18670, effective December 17, 2012; amended at 42

Ill. Reg. ______, effective ____________.

Section 904.5 Authority and Purpose

a) This Part is promulgated and adopted pursuant to and in accordance with the

provisions of Section 401 of the Illinois Insurance Code.

b) All domestic insurance companies, as well as domestic health maintenance

organizations, domestic limited health service organizations, dental service plan

corporations, and health services plan corporations, referred to in this Part as such

companies, are directed and required, by resolution of their Board of Directors or

other appropriate action, to conform their internal functions to this Part.




18




"Company" means any domestic company as defined in Section 2(f) of the Code,

any health maintenance organization as defined in Section 1-2(9) of the Health

Maintenance Organization Act [215 ILCS 125] that is formed under the laws of

this State, any limited health service organization as defined in Section 1002 of

the Limited Health Service Organization Act [215 ILCS 130] that is formed under

the laws of this State, any dental service plan corporation as defined in Section 3

of the Dental Service Plan Act [215 ILCS 110], and any health services plan

corporation as defined in Section 2(a) of the Voluntary Health Services Plans Act

[215 ILCS 165].

"Security" has the meaning ascribed in Section 2.1 of the Illinois Securities Law

of 1953 [815 ILCS 5].

(Source: Added at 42 Ill. Reg. ______, effective ____________)

Section 904.10 Registration of Securities

All bonds, stocks, notes, shares, debentures, evidences of indebtedness, certificates of interest or

participation, certificates of deposit for a security and other securities, whether negotiable or not,

referred to in this Part as "such securities", belonging to or in the possession, custody or control

of any such company shall be registered, issued to, and carried in the name of thesuch company

except:

a) Securities pledged or hypothecated with thesuch company as security for

indebtedness or obligations to thesuch company;

b) Securities deposited by or with thesuch company as collateral on fidelity or surety

bonds written for or by thesuch company;

c) Securities that are only issued to the bearer in bearer form, i.e., securities that

cannot be issued in registered form;

d) Securities in "custodial" accounts maintained with a bank or trust company

licensed by the United States or any state and regularly examined by the licensing

authority, provided that "custodial" accounts shall be the undivided responsibility

of the depository and provided further that the "custodial" account shall be


18



established conformably with, and conducted in compliance with, Section 904.20;

e) Securities in street form and in the custody of a registered dealer in securities, for

a period not exceeding 30 days, provided that theno such registered dealer in

securities shall not be an officer, director, agent or employee of the owner of

thesuch securities and provided further that accounts with the dealer shall be

established conformably with, and conducted in compliance with, Section 904.20;

f) Securities deposited with any state insurance department or similar authority

pursuant to any requirement for thatsuch deposit if thesuch deposit may be made

in "bearer" securities.

AGENCY NOTE: Illinois will not accept "bearer" securities as a part of a

company's deposit.


Section 904.20 Custody, Care and Disposition of Securities

a) Transfer, sale, assignment or disposition of any security belonging to any such

company, other than upon the surrender of the security for payment at maturity or

under an option of the maker of the security to repay the security, shall be

authorized or ratified by the Board of Directors, or by a committee of the Board

charged with the duty of supervising investments and loans.

b) Any instrument for the assignment, sale, transfer or disposition of any such

securities, and all checks or other orders for disbursement of funds of the

company in connection with the purchase of any such securities, shall:

1) require the signature of at least two officers or employees who shall have

been so authorized by the Board of Directors, or by a committee of the

Board charged with the duty of supervising investments and loans; or.

2) be executed pursuant to policies, procedures and controls the company has

put in place for the authorization of transactions and appropriate

segregation of duties relative to these types of transactions. The policies,

procedures and controls must be approved by the Board of Directors of the

company and a copy must be kept on file and made available for review

by the Department in an examination. These policies, procedures and


18



controls must require the company to:

A) segregate duties among individuals related to authorization,

recording and reconciling of the transactions so that no individual

performs more than one of these duties; and

B) maintain written documentation of:

i) the individuals, by name or job title, who have authority to

approve the transactions covered in this Section; and

ii) the limits or ranges of each individual's authorization to

approve the transactions.

c) Access to any and all vaults or other repositories on the premises of any company

containing securities of the company and access to any safe deposit boxes

containing thesuch securities shall be limited to officers and employees

designated by the Board of Directors. This and such designation shall require that

at least two of the persons so designated shall be present at the time of entry and

during the access to the vault, repository or safe deposit box.



18


NOTICE OF PROPOSED REPEALER

1) Heading of the Part: Correlated Sales of Life Insurance and Mutual Funds



910.10 Repealed

910.20 Repealed

910.30 Repealed

910.40 Repealed

910.50 Repealed

910.60 Repealed

910.70 Repealed

910.80 Repealed

910.90 Repealed

910.100 Repealed

910.110 Repealed

4) Statutory Authority: Implementing Sections 149, 236, 237, 429, and 502 and authorized

by Section 401 of the Illinois Insurance Code (Ill. Rev. Stat. 1981, ch. 73, pars. 761, 848,

849, 1036, 1065.49 and 1013).

5) A Complete Description of the Subjects and Issues Involved: Part 910 was identified for

repeal as redundant and unnecessary during the Department of Insurance's extensive

review of its regulations under Governor Rauner's "Cutting the Red Tape Initiative" to

ensure that our administrative rules are up to date and reflect current Department

practices and functions; use plain language where appropriate; do not cause undue

administrative delay or backlog; are not unduly burdensome to businesses; and are

statutorily authorized. Part 910 is to be repealed as it was initially drafted in 1964 and is

no longer needed for staff to maintain the requisite compliance and consumer protection

related duties.



None




18











Fred Moore or Susan Anders





312/814-5398 217/558-0957

fax: 312/814-2862



corporations affected: None




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


18



TITLE 50: INSURANCE



PART 910

CORRELATED SALES OF LIFE INSURANCE AND MUTUAL FUNDS (REPEALED)

Section

910.10 Authority

910.20 Applicability

910.30 Statement of Policy

910.40 Responsibility of Company and Agent

910.50 Tie-in Sales

910.60 Written Proposal

910.70 Contents of Proposal

910.80 Statement to be Separate

910.90 Exclusion

910.100 Violation

910.110 Effective Date

AUTHORITY: Implementing Sections 149, 236, 237, 429, and 502 and authorized by Section

401 of the Illinois Insurance Code (Ill. Rev. Stat. 1981, ch. 73, pars. 761, 848, 849, 1036,

1065.49 and 1013).

SOURCE: Effective February 15, 1964; codified at 6 Ill. Reg. 12462; repealed at 42 Ill. Reg.

______, effective ____________.

Section 910.10 Authority

This Rule is issued by the Director of Insurance pursuant to Section 401 of the Illinois Insurance

Code, which empowers the Director to make reasonable rules and regulations as may be

necessary for making effective the insurance laws of this State. This Rule implements Sections

149, 236, 237, 429 and 502 of the Illinois Insurance Code by establishing minimum standards for

the form of proposals and statements used to solicit, service, or collect premiums for life

insurance which is sold in correlation with a mutual fund.

Section 910.20 Applicability

This Rule shall apply:


18



a) to any insurance company, agent, person, broker or solicitor as those terms are

defined in Sections 2 and 490 of the Insurance Code;

b) to acts and practices in the advertising, promotion, solicitation, negotiation of or

effecting the sale of:

1) life insurance policies (which term shall include annuity contracts for

purposes of this Rule) in correlation with the sale of shares of a mutual

fund; or

2) contracts which contemplate the purchase of a life insurance policy in

correlation with the sales of shares of a mutual fund;

c) to any acts and practices, whether they involve the use of language disseminated

by means of sales kits, policy jackets or covers, letters, personal presentations,

visual aids and other sales media in connection with the solicitation, servicing or

collection of premiums for life insurance in correlation with mutual funds.

Section 910.30 Statement of Policy

There shall be full disclosure of relevant facts in the sale of life insurance in correlation with the

sale of shares of a mutual fund. Accordingly, this Rule sets forth certain proposed procedures

and requirements establishing minimum standards for disclosure of information in sales of life

insurance and mutual fund shares.

Section 910.40 Responsibility of Company and Agent

No person to whom this Rule applies shall make, in connection with correlated sales of life

insurance and mutual fund shares, a proposal or billing other than in accordance with the

requirements of this Rule. Every company must inform its agents of the requirements of this

Rule.

Section 910.50 Tie-in Sales

The agent, at the commencement of and throughout the sales presentation, must fully disclose to

the purchaser that he has the right to purchase life insurance only, mutual fund shares only, or

both life insurance and mutual fund shares.


18



Section 910.60 Written Proposal

In any solicitation of an offer to buy or sale of life insurance in correlation with the sale of shares

of a mutual fund, the prospect or policyholder must be furnished with a copy of a clear and

unambiguous written proposal not later than at the time the solicitation or proposal is made. A

copy of such written proposal shall be kept on file by the company.

Section 910.70 Contents of Proposal

Any proposal referred to in this Rule must:

a) Be dated and signed by the insurance agent or by the company if no agent is

involved;

b) State the name of the company in which the life insurance is to be written;

c) State that the purchaser has the right to purchase life insurance only, mutual fund

shares only, or both life insurance and mutual fund shares;

d) Contain no misrepresentations or false, deceptive or misleading words, figures or

statements. It must be accurate and complete and state all facts without which the

proposal would have the capacity or tendency to mislead or deceive;

e) Show the premium charge for life insurance separately from any other charge;

f) If values which may accrue prior to the death of the insured are involved in the

presentation, show the value of the life insurance policy separately from any other

values;

g) Show, if it is involved in the presentation, the amount of the death benefit for the

life insurance separately from any other benefit which may accrue upon the death

of the insured;

h) Set forth all matters pertaining to life insurance separately from any matter not

pertaining to life insurance.

Section 910.80 Statement to be Separate

Any bill, statement or representation sent or delivered to any prospective or policyholder must


18



show the premium charge for the life insurance and any other information mentioned concerning

life insurance separate from any other charges or values shown in the same billing, but nothing in

this section shall prevent the total of the premium charge for life insurance with any other

charges or values shown in the same billing to arrive at the total billing charge.

Section 910.90 Exclusion

The provisions of this Rule shall not apply to any arrangement for the correlated purchase of life

insurance and mutual fund shares which arrangement would be deemed a "security" as defined

by the Securities Act of 1933 (15 U.S.C. 77) or the Illinois Securities Law of 1953 (Ill. Rev. Stat.

1979, ch. 121 ½, par. 137.1 et seq.). However, any sales literature and contract to purchase life

insurance in connection with such arrangement shall be submitted to the Department of

Insurance for the approval of the Director, prior to the sale of any life insurance under such

arrangement.

Section 910.100 Violation

Companies or persons in violation of this Rule shall be subject to fine, revocation or suspension

of license to do business, denial of renewal of license to do business, and to proceedings under

Article XXVI of the Insurance Code relating to unfair methods of competition and unfair

deceptive acts and practices.

Section 910.110 Effective Date

This Rule shall become effective on February 15, 1964.


18



1) Heading of the Part: Required Procedure for Filing and Securing Approval of Policy

Forms



916.30 Amendment

916.EXHIBIT A Amendment

4) Statutory Authority: Implementing Section 143 of the Illinois Insurance Code [215 ILCS

5/143] and Section 10 of the Voluntary Health Services Plans Act [215 ILCS 165/10] and

Section 10 of the Dental Service Plan Act [215 ILCS 110/10] and Section 109 of the

Dental Care Patient Protection Act [215 ILCS 109] and Section 4003 of the Limited

Health Service Organization Act [215 ILCS 130/4003] and Section 5-3 of the Health

Maintenance Organization Act [215 ILCS 125/5-3] and the Electronic Commerce

Security Act [5 ILCS 175] and authorized by Section 401 of the Illinois Insurance Code

[215 ILCS 5/401].

5) A Complete Description of the Subjects and Issues Involved: Language is needed in

Exhibit A, Certificate of Compliance, that will include forms filed and approved through

the Interstate Insurance Product Regulation Commission (IIPRC). The Interstate

Insurance Product Regulation Commission is defined.











18



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



Patrick D. Riley or Susan Anders



122 S. Michigan Ave, 19th Fl. 320 W. Washington St.


312/814-8164 217/558-0957

fax: 312/814-2862



affected: None

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

certificates, forms and rates as detailed throughout the rule





18



TITLE 50: INSURANCE



PART 916

REQUIRED PROCEDURE FOR FILING AND SECURING APPROVAL OF POLICY FORMS

Section

916.10 Authority


916.30 Definitions

916.40 Filing Procedures

916.50 Certificate of Compliance

916.60 Effective Date (Repealed)

916.EXHIBIT A Certificate of Compliance

916.EXHIBIT B Coding Guide (Repealed)

916.EXHIBIT C Discontinued Acronyms From Exhibit B Coding Guide (Repealed)

916.EXHIBIT G General Transmittal Instructions and Transmittal (Repealed)

916.EXHIBIT H Replacement/Withdrawal Transmittal Instructions and Transmittal

(Repealed)

916.EXHIBIT I Certificate of Assumption Transmittal Instructions and Transmittal

(Repealed)

916.EXHIBIT J Informational Filing Transmittal Instructions and Transmittal (Repealed)

AUTHORITY: Implementing Section 143 of the Illinois Insurance Code [215 ILCS 5/143],

Section 10 of the Voluntary Health Services Plans Act [215 ILCS 165/10], Section 25 of the

Dental Service Plan Act [215 ILCS 110/25], Section 75 of the Dental Care Patient Protection Act

[215 ILCS 109/75], Section 4003 of the Limited Health Service Organization Act [215 ILCS

130/4003], Section 5-3 of the Health Maintenance Organization Act [215 ILCS 125/5-3] and the

Electronic Commerce Security Act [5 ILCS 175], and authorized by Section 401 of the Illinois

Insurance Code [215 ILCS 5/401].

SOURCE: Filed November 13, 1975, effective December 1, 1975; codified at 6 Ill. Reg. 14844;

amended at 9 Ill. Reg. 18139, effective February 13, 1986; amended at 17 Ill. Reg. 15853,


24 Ill. Reg. 3547, effective February 18, 2000; amended at 29 Ill. Reg. 4922, effective March 22,

2005; recodified from the Department of Financial and Professional Regulation to the

Department of Insurance pursuant to Executive Order 2009-04 at 38 Ill. Reg. 24062; amended at


18



39 Ill. Reg. 2590, effective February 6, 2015; amended at 39 Ill. Reg. 16152, effective December

3, 2015; amended at 42 Ill. Reg. ______, effective ____________.


"Certificate of Compliance" means a document as described in Section 916.50, an

example of which is included in Exhibit A, which certifies that the filing complies

with Illinois applicable provisions. The Certification must include a readable,

authentic and visible signature of an officer of the company.

"Combination Form" means a policy form that will be used for both life and

accident and health. Combination forms must be submitted under TOI/Sub-TOI's

for life and for accident and health.

"Company" means any entity that is defined, identified or functions as a

"company" in Section 2 of the Illinois Insurance Code [215 ILCS 5/2], in Section

2 of the Voluntary Health Services Plans Act [215 ILCS 165/2], in Section 3 of

the Dental Service Plan Act [215 ILCS 110/3], in Section 1002 of the Limited

Health Service Organization Act [215 ILCS 130/1002], or in Section 1-2 of the

Health Maintenance Organization Act [215 ILCS 125/1-2], and that issues or

delivers in the State of Illinois policies, group contracts or certificates of life,

annuity and accident and health insurance, which fall within the definition of

Classes 1(a), 1(b) and 2(a) of Section 4 of the Illinois Insurance Code, unless the

context clearly indicates that the entity shall not constitute a company for

purposes of this Part.



"Illinois Insurance Code" or "Code" means 215 ILCS 5.

"Informational Filingfiling" means a filing of a policy form, rate or other

informational material that does not require approval by the Director, but is filed

for informational purposes only. These filings would include, but are not limited

to, an informational policy, other State approvals, calculations, required

informational material, outlines of coverage and variable material.


18



"Interstate Insurance Product Regulation Commission" or "IIPRC" means the

commission established by the Interstate Insurance Product Regulation Compact

(Interstate Compact).

"PDF" means an Adobe Portable Document Format.

"Policy Form" means any form to be issued or delivered in the State of Illinois,

pursuant to Section 143(l) of the Illinois Insurance Code, constituting in form and

content a policy, group contract or certificate of insurance or evidence of

coverage, endorsement, rider, schedule of benefits page, by-law or other matter

incorporated by reference, or application blank or discretionary group forms

requiring the Director's approval pursuant to SectionsSection 230.2 and 367.3 of

the Illinois Insurance Code.

"SERFF" means the System for Electronic Rate and Form Filing used for

electronic filings of participating company policy forms and rating information.

"State Tracking/Company Tracking Numbers" means the number assigned by the

company that is used to distinguish one filing from any other filing submitted by

that same company. All policy forms submitted in a filing shall be for the same

line of business and the same category.

"Subtype of Insurance" or "Sub-TOI" means the characteristic and detailed

description of the policy form as set forth on the SERFF website

(www.serff.com).

"Type of Insurance" or "TOI" means the general classification of the policy form

to be issued or delivered as set forth on the SERFF website.



18



Section 916.EXHIBIT A Certificate of Compliance

Each company shall submit a "Certificate of Compliance" in substantially this format:

CERTIFICATE OF COMPLIANCE

(Company Name)

By: Title:

certifies that the policy forms submitted or referenced in this filing do comply:

a) with all provisions of the Illinois Insurance Code applicable to the policy forms;

and

b) with all provisions of 50 Ill. Adm. Code applicable to policy forms;

and does further certify to the best of our knowledge and belief that:

1) the forms do not contain any inconsistent, ambiguous or misleading clauses;

2) the forms do not contain specifications or conditions that unreasonably or

deceptively affect the risk purported to be assumed in the general coverage of the

policy forms;

3) the only variation from the usual provisions of the policy forms are clearly

marked or otherwise indicated;

4) the language of the policy form, as submitted or approved, shall be exactly as it

has been or will be offered for issuance or delivery in the State of Illinois as

approved by the Director or by the Interstate Insurance Product Regulation

Commission (IIPRC), except for hypothetical data and other appropriate variable

material; and

5) the policy forms do not contain any provision or clause currently being

disapproved by the Director or by IIPRC.

In utilizing the procedure for policy form filing and approval set forth in 50 Ill. Adm. Code 916,


18



(company name) hereby expressly agrees and consents to a review, by the

Director, to be made at any time, and further hereby expressly agrees and consents to the

discontinuance by the company of future use of the approved policy forms, 30 days from the date

of mailing an order of withdrawal issued by the Director pursuant to Section 143(1) of the Illinois

Insurance Code. The order shall set forth the reasons why the previously approved policy forms

are violative of or contrary to the provisions of the Illinois Insurance Code or all provisions of 50

Ill. Adm. Code applicable to policy forms. Each company shall have the right to request a hearing

within that 30 day period. The request shall be made in writing to the Director. The order of

withdrawal shall be stayed and the company shall be given a hearing under the provisions of

Sections 143(1), 401(c), 401.1, 402(2), 426 and 429 of the Illinois Insurance Code [215 ILCS

5/143(1), 401(c), 401.1, 402(2), 426 and 429] and 50 Ill. Adm. Code 2402, as may be applicable,

to determine:

a) whether the policy form shall be disapproved; and

b) whether further orders of the Director may be appropriate.

(Company Name)

By:

(Signature)

Title: Date:



18



1) Heading of the Part: Minimum Standards of Individual Accident and Health Insurance



2007.30 Amendment

2007.80 Amendment

4) Statutory Authority: Implementing Section 355a and authorized by Section 401 of the

Illinois Insurance Code [215 ILCS 5/355a and 401] and 42 USC 300gg-22; 45 CFR

150.101(b)(2) and 150.201.

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

2007.80(a)(11) was added to mirror an attestation requirement for consumers that was

passed in a 2014 federal CMS regulation, which has since been enjoined by Central

United Life Ins. Co. v. Burwell, 827 F. 3d 70 (D.C. Cir. 2016). The provision requires

consumers applying for individual hospital or other fixed indemnity insurance to attest to

being either enrolled in or legally treated as having "minimum essential coverage" under

federal law. The attestation requirement is an unnecessary regulatory burden on Illinois

businesses where consumers are already notified at the time of application that hospital

and other fixed indemnity coverage does not qualify as minimum essential coverage. The

language of this attestation requirement will be deleted from the rule. Also, non-

substantive technical edits are made to the phrasing of Section 2007.30.



None






18












122 S Michigan Ave, Fl 19 320 W Washington St, Fl 4

Chicago IL 60603-6137 Springfield IL 62767

312/814-5445 217/558-0957

fax: 312/814-2862



corporations affected: None, the attestation requirement applied to fixed

indemnity insurers.

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

amendment will remove a procedure for compliance.

C) Types of professional skills necessary for compliance: None, this amendment

will remove a compliance requirement.




18



TITLE 50: INSURANCE


SUBCHAPTER z: ACCIDENT AND HEALTH INSURANCE

PART 2007

MINIMUM STANDARDS OF INDIVIDUAL ACCIDENT

AND HEALTH INSURANCE

Section

2007.10 Authority

2007.20 Purpose


2007.40 Revision of Noncomplying Policy Form and Subscriber Contracts Certificate of

Compliance Required

2007.50 Definitions

2007.60 Prohibited Policy Provisions

2007.70 Accident and Health Minimum Standards for Benefits

2007.80 Required Disclosure Provisions

2007.90 Requirements for Replacement

2007.100 Severability

AUTHORITY: Implementing Section 355a and authorized by Section 401 of the Illinois

Insurance Code [215 ILCS 5/355a and 401] and 42 USC 300gg-22; 45 CFR 150.101(b)(2) and

150.201.

SOURCE: Adopted at 2 Ill. Reg. 30, p. 41, effective August 1, 1978; amended at 4 Ill. Reg. 45,

p. 102, effective March 1, 1981; amended at 6 Ill. Reg. 7072, effective May 27, 1982; codified at

7 Ill. Reg. 10591; amended at 12 Ill. Reg. 6921, effective April 1, 1988; amended at 15 Ill. Reg.

7658, effective May 7, 1991; amended at 19 Ill. Reg. 16555, effective December 5, 1995;

amended at 38 Ill. Reg. 2138, effective January 2, 2014; amended at 38 Ill. Reg. 23400, effective

November 25, 2014; amended at 42 Ill. Reg. ______, effective ____________.

Section 2007.30 Applicability

a) This Part appliesshall apply to all individual accident and health insurance

policies except that it doesshall not apply to individual policies issued pursuant to

a conversion privilege under a policy of group or individual insurance when

thesuch individual policy includes provisions thatwhich are inconsistent with the

requirements of this Part, nor to policies being issued to employees or members as


18



additions to franchise plans in existence prior to July 17, 1978.

b) The requirements contained in this Part areshall be in addition to any other

applicable regulations.


Section 2007.80 Required Disclosure Provisions

a) General Rules

1) Each individual policy of accident and health insurance shall include a

renewal, continuation or nonrenewal provision. The language or

specifications of the provision must be consistent with the requirements of

50 Ill. Adm. Code 2001.Subpart A and the type of plan issued. The

provision shall be appropriately captioned, shall appear on the first page of

the policy, and shall clearly state the duration, when limited, of

renewability and the duration of the term of coverage for which the policy

is issued and for which it may be renewed.

2) Except for riders or endorsements by which the insurer effectuates a

request made in writing by the policyholder or exercises a specifically

reserved right under the policy, all riders or endorsements added to a

policy after date of issue or at reinstatement or renewal that reduce or

eliminate benefits or coverage in the policy shall require signed

acceptance by the policyholder. After date of policy issue, any rider or

endorsement that increases benefits or coverage with a concomitant

increase in premium during the policy term must be agreed to by the

insured, except if the increased benefits or coverage is required by law.

3) When a separate additional premium is charged for benefits provided in

connection with riders or endorsements, the premium charge shall be set

forth in the policy.

4) A policy that provides for the payment of benefits based on standards

described as "usual and customary", "reasonable and customary", or words

of similar import shall include a definition of those terms and an

explanation of those terms in its accompanying outline of coverage.


18



5) If a policy providing excepted benefits or a grandfathered health plan

contains any limitations with respect to preexisting conditions, those

limitations must appear as a separate paragraph of the policy and be

labeled as "Preexisting Condition Limitations".

6) All accident only policies shall contain a prominent statement on the first

page of the policy or attached to the policy in either contrasting color or in

boldface type at least equal to the size of type used for policy captions, a

prominent statement as follows:

"This is an accident only policy and it does not pay benefits for

loss from sickness."

7) All policies, except single premium nonrenewal policies, shall have a

notice prominently printed on the first page of the policy or attached

thereto stating in substance, that the policyholder shall have the right to

return the policy within 10 days after its delivery and to have the premium

refunded if after examination of the policy the policyholder is not satisfied

for any reason.

8) If age is to be used as a determining factor for reducing the maximum

aggregate benefits made available in the policy as originally issued, that

fact must be prominently set forth in the outline of coverage.

9) If a policy contains a conversion privilege, it shall comply, in substance,

with the following: the caption of the provision shall be "Conversion

Privilege", or words of similar import. The provision shall indicate the

persons eligible for conversion, the circumstances applicable to the

conversion privilege, including any limitations on the conversion, and the

person by whom the conversion privilege may be exercised. The

provision shall specify the benefits to be provided on conversion or may

state that the converted coverage will be as provided on a policy form then

being used by the insurer for that purpose.

10) All specified disease policies shall contain a prominent statement on the

first page of the policy in contrasting color and in bold face type at least

equal to the size of type used for policy captions, a prominent statement as

follows: "This is a limited policy. Read it carefully."


18



11) Notice Requirements:

A) At the time of purchase of fixed indemnity contracts, theall

applicants must attest to being enrolled in minimum essential

coverage (MEC) within the meaning of 26 USC 5000A(f), or that

they are treated as having minimum essential coverage due to their

status as a bona fide resident of any possession of the United States

pursuant to 26 USC 5000A(f)(4)(B). The fixed indemnity insurer

must provide notice within the application indicating that the fixed

indemnity is not minimum essential coverage (MEC) within the

meaning of 26 USC 5000A(f) and does not satisfy that satisfies the

ACA individual mandate. That notice must contain the following

verbiage displayed prominently in the plan materials in at least 14-

point type that has the following language:

"THIS IS A SUPPLEMENT TO HEALTH INSURANCE AND IS

NOT A SUBSTITUTE FOR MAJOR MEDICAL COVERAGE.

LACK OF MAJOR MEDICAL COVERAGE (OR OTHER

MINIMUM ESSENTIAL COVERAGE) MAY RESULT IN AN

ADDITIONAL PAYMENT WITH YOUR TAXES."

B) The notice requirement of subsection (a)(11)(A) applies to all

hospital or other fixed indemnity insurance policy years beginning

on or after January 1, 2015, and the attestation requirement of

subsection (a)(11)(A) applies to hospital or other fixed indemnity

insurance policies issued on or after January 1, 2015.

C) These notice and attestation requirements do not apply to

individual hospital indemnity or other fixed indemnity insurance

policies issued before January 1, 2015 that do not require an

application as a condition of renewal, are guaranteed renewable or

non-cancelable, and only condition renewal on the timely payment

of premiums with no renewal application form required.

D) These notice and requirements apply only to hospital indemnity or

other fixed indemnity insurance policies sold in the individual

market. They do not apply to any other type or category of

insurance that is listed separately as an excepted benefit in the

federal Public Health Service Act (42 USC ch. 6A) (e.g., disability


18



income insurance, specified disease insurance, accident only

insurance, etc.), regardless of whether the benefits under that

coverage are paid as a fixed dollar amount per day or other period,

or per service.

E) These notice and attestation requirements do not apply to

individual hospitalhosital indemnity or other fixed indemnity

insurance policyholders who are age 65 or older and are enrolled in

Medicare.

b) Outline of Coverage Requirements for Individual Coverages

1) No individual accident and health insurance policy shall be delivered or

issued for delivery in this State unless an appropriate Summary of

Benefits, in accordance with 50 Ill. Adm. Code 2001.10, that includes an

outline of coverage as prescribed in subsections (c) through (l) is

completed as to the policy and is delivered in accordance with Section

355a(5)(a) of the Illinois Insurance Code [215 ILCS 5/355a(5)(a)].

2) In the event that a policy is issued on a basis other than that applied for, an

outline of coverage properly describing the policy must accompany the

policy when it is delivered and, if an outline of coverage was delivered

earlier, contain the following statement, in not less than 12 point type,

immediately above the company name:

NOTICE

Read this outline of coverage carefully. It is not identical to the outline of

coverage provided upon application and the coverage originally applied

for has not been issued.

3) In those cases in which a policy designed to supplement existing coverage

is approved, the outline of coverage shall prominently state that coverage

is designed to supplement other health insurance policies owned by the

insured.

4) The appropriate outline of coverage for policies providing hospital

coverage that only meets the standards of Section 2007.70(b)(2) shall be

that statement contained in subsection (c) of this Section. The appropriate


18



outline of coverage for policies providing coverage that meets the

standards of both Section 2007.70(b)(2) and (3) shall be the statement

contained in subsection (e) of this Section. The appropriate outline of

coverage for policies providing coverage that meets the standards of

Section 2007.70(b)(2) and (5), (b)(3) and (5), or (b)(2), (3) and (5) shall be

the statement contained in subsection (g) of this Section.

c) Basic Hospital Expense Coverage (Outline of Coverage)

An outline of coverage, in the form prescribed in this subsection (c), shall be

issued in connection with policies meeting the standards of Section 2007.70(b)(2).

The items included in the outline of coverage must appear in the sequence

prescribed:

(COMPANY NAME)

BASIC HOSPITAL EXPENSE COVERAGE

OUTLINE OF COVERAGE

1) Read Your Policy Carefully – This outline of coverage provides a very

brief description of the important features of your policy. This is not the

insurance contract and only the actual policy provisions will control. The

policy itself sets forth in detail the rights and obligations of both you and

your insurance company. It is, therefore, important that you READ

YOUR POLICY CAREFULLY!

2) Basic Hospital Expense Coverage – Policies of this category are designed

to provide to persons insured coverage for hospital expenses incurred as a

result of a covered accident or sickness. Coverage is provided for daily

hospital room and board, miscellaneous hospital services, and hospital

outpatient services, subject to any limitations, deductibles and co-payment

requirements set forth in the policy. Coverage is not provided for

physicians or surgeons fees or unlimited hospital expenses.

3) (A brief specific description of the benefits, including dollar amounts and

number of days duration where applicable, contained in this policy in the

following order:

A) daily hospital room and board;

B) miscellaneous hospital services;


18



C) hospital out-patient services; and

D) other benefits, if any.)

AGENCY NOTE: The above description of benefits shall be stated

clearly and concisely, and shall include a description of any deductible or

co-payment provision applicable to the benefits described.

4) (A description of any policy provisions that exclude, eliminate, restrict,

reduce, limit, delay, or in any other manner operate to qualify payment of

the benefits described in subsection (c)(3).)

5) (A description of policy provisions respecting renewability or continuation

of coverage, including age restrictions or any reservation of right to charge

premiums.)

d) Basic Medical-Surgical Expense Coverage (Outline of Coverage)

An outline of coverage, in the form prescribed in this subsection (d)below, shall

be issued in connection with policies meeting the standards of Section

2007.70(b)(3). The items included in the outline of coverage must appear in the

sequence prescribed:

(COMPANY NAME)

BASIC MEDICAL-SURGICAL EXPENSE COVERAGE

OUTLINE OF COVERAGE



insurance contract and only the actual policy provisions will control your

policy. The policy itself sets forth in detail the rights and obligations of

both you and your insurance company. It is, therefore, important that you

READ YOUR POLICY CAREFULLY!

2) Basic Medical-Surgical Expense Coverage – Policies of this category are

designed to provide to persons insured coverage for medical-surgical

expenses incurred as a result of a covered accident or sickness. Coverage

is provided for surgical services, anesthesia services, and in-hospital

medical services, subject to any limitations, deductibles and co-payment


18



requirements set forth in the policy. Coverage is not provided for hospital

expenses or unlimited medical surgical expenses.


number of days duration where applicable, contained in this policy, in the

following order:

A) surgical services;

B) anesthesia services;

C) in-hospital medical services; and

D) other benefits, if any.)

AGENCY NOTE: The above description of benefits in this subsection

(d)(3) shall be stated clearly and concisely, and shall include a description

of any deductible or co-payment provision applicable to the benefits

described.



the benefits described in subsection (d)(3).)


of coverage, including age restrictions or any reservation of right to

change premiums.)

e) Basic Hospital and Medical Surgical Expense Coverage (Outline of Coverage)

An outline of coverage, in the form prescribed in this subsection (e)below, shall


2007.70(b)(2) and (3). The items included in the outline of coverage must appear

in the sequence prescribed.

(COMPANY NAME)

BASIC HOSPITAL AND MEDIAL SURGICAL

EXPENSE COVERAGE OUTLINE OF COVERAGE



18








2) Basic Hospital and Medical Surgical Expense Coverage – Policies of this

category are designed to provide, to persons insured, coverage for hospital

and medical-surgical expenses incurred as a result of a covered accident or

sickness. Coverage is provided for daily hospital room and board,

miscellaneous hospital services, hospital out-patient services, surgical

services, anesthesia services, and in-hospital medical services, subject to

any limitations, deductibles and co-payment requirements set forth in the

policy. Coverage is not provided for unlimited hospital or medical-

surgical expenses.


number of days duration where applicable, contained in this policy, in the

following order:



C) hospital out-patient services;

D) surgical services;

E) anesthesia services;

F) in-hospital medical services; and

G) other benefits, if any.)


(e)(3) shall be stated clearly and concisely, and shall include a description


described.


18





the benefits described in subsection (e)(3).)



change premiums.)

f) Hospital Confinement Indemnity Coverage (Outline of Coverage)

An outline of coverage, in the form prescribed below, shall be issued in

connection with policies meeting the standards of Section 2007.70(b)(4). The

items included in the outline of coverage must appear in the sequence prescribed:

(COMPANY NAME)

HOSPITAL CONFINEMENT INDEMNITY COVERAGE

OUTLINE OF COVERAGE







2) Hospital Confinement Indemnity Coverage – Policies of this category are

designed to provide to persons insured, coverage in the form of a fixed

daily benefit during periods of hospitalization resulting from a covered

accident or sickness, subject to any limitations set forth in the policy.

These policies do not provide any benefits other than the fixed daily

indemnity for hospital confinement and any additional benefit described in

subsections (f)(3) through (f)(6).

3) (A brief specific description of the benefits contained in this policy, in the

following order:

A) daily benefit payable during hospital confinement; and

B) duration of benefit described in (A).)


18



AGENCY NOTE: The description of benefits in this subsection (f)(3)

shall be stated clearly and concisely.



the benefits described in (f)(3).)



change premiums.)

6) (Any benefits provided in addition to the daily hospital benefit.)

g) Major Medical Coverage (Outline of Coverage)

An outline of coverage, in the form prescribed in this subsection (g), shall be


The items included in the outline of coverage must appear in the sequence

prescribed:

(COMPANY NAME)

MAJOR MEDICAL EXPENSE COVERAGE

OUTLINE OF COVERAGE







2) Major Medical Expense Coverage – Policies of this category are designed

to provide, to persons insured, coverage for major hospital, medical, and

surgical expenses incurred as a result of a covered accident or sickness.

Coverage is provided for daily hospital room and board, miscellaneous

hospital services, surgical services, anesthesia services, in-hospital

medical services, and out of hospital care, subject to any deductibles, co-

payment provisions, or other limitations that may be set forth in the policy.

Basic hospital or basic medical insurance coverage is not provided.


18



3) (A brief specific description of the benefits, including dollar amounts,

contained in this policy, in the following order:



C) surgical services;

D) anesthesia services;

E) in-hospital medical services;

F) out of hospital care;

G) maximum dollar amount for covered charges; and

H) other benefits, if any.)


(g)(3) shall be stated clearly and concisely, and shall include a description


described.

4) (A description of policy provisions that exclude, eliminate, restrict,


the benefits described in subsection (g)(3).)



change premiums.)

h) Disability Income Protection Coverage (Outline of Coverage)

An outline of coverage, in the form prescribed in this subsection (h)below, shall


2007.70(b)(6). The items included in the outline of coverage must appear in the

sequence prescribed:

(COMPANY NAME)


18



DISABILITY INCOME PROTECTION COVERAGE

OUTLINE OF COVERAGE







2) Disability Income Protection Coverage – Policies of this category are

designed to provide, to persons insured, coverage for disabilities resulting

from a covered accident or sickness, subject to any limitations set forth in

the policy. Coverage is not provided for basic hospital, basic medical-

surgical, or major medical expenses.

3) (A brief specific description of the benefits contained in this policy:)

AGENCY NOTE: The description of benefits shall be stated clearly and

concisely.



the benefits described in subsection (h)(3).)



change premiums.)

i) Accident Only Coverage (Outline of Coverage)

An outline of coverage in the form prescribed in this subsection (i) shall be issued

in connection with policies meeting the standards of Section 2007.70(b)(7). The

items included in the outline of coverage must appear in the sequence prescribed:

(COMPANY)

ACCIDENT ONLY COVERAGE

OUTLINE OF COVERAGE



18








2) Accident Only Coverage – Policies of this category are designed to

provide, to persons insured, coverage for certain losses resulting from a

covered accident ONLY, subject to any limitations contained in the policy.

Coverage is not provided for basic hospital, basic medical-surgical, or

major medical expenses.

3) (A brief specific description of the benefits contained in this policy:)


concisely, and shall include a description of any deductible or co-payment

provision applicable to the benefits described. Proper disclosure of

benefits that vary according to accidental cause shall be made in

accordance with Section 2007.70(e).



the benefits described in subsection (i)(3).)



change premiums.)

j) Specified Disease or Specified Accident Coverage (Outline of Coverage)

An outline of coverage in the form prescribed in this subsection (j), shall be


The coverage shall be identified by the appropriate bracketed title. The items

included in the outline of coverage must appear in the sequence prescribed:

(COMPANY NAME)

(SPECIFIED DISEASE) (SPECIFIED ACCIDENT COVERAGE)

OUTLINE OF COVERAGE



18








2) (Specified Disease) (Specified Accident) Coverage – Policies of this

category are designed to provide, to persons insured, restricted coverage

paying benefits ONLY when certain losses occur as a result of (specified

diseases) or (specified accidents). Coverage is not provided for basic

hospital, basic medical-surgical, or major medical expenses.


contained in this policy:)



provisions applicable to the benefits described. Proper disclosure of


accordance with Section 2007.70(b)(1)(L).



the benefits described in subsection (j)(3).)


of coverage, including age restriction or any reservation of right to change

premiums.)

k) Limited Benefit Health Coverage (Outline of Coverage)

An outline of coverage, in the form prescribed in this subsection (k)below, shall

be issued in connection with policies that do not meet the minimum standards of

Section 2007.70(b)(2) through (b)(7). The items included in the outline of

coverage must appear in the sequence prescribed:

(COMPANY NAME)

LIMITED BENEFIT HEALTH COVERAGE

OUTLINE OF COVERAGE


18









2) Limited Benefit Health Coverage – Policies of this category are designed

to provide, to persons insured, limited or supplemental coverage.


contained in this policy:)



provisions applicable to the benefits described. Proper disclosure of


accordance with Section 2007.70(b)(1)(L).



the benefits described in subsection (k)(3).)



change premiums.)

l) Non-Conventional Coverage (Outline of Coverage)

The outline of coverage shall include the following information:

1) The name and principal address of the insurer.

2) An appropriate statement of identification of the type of coverage

provided by the policy.

3) A description of each of the principal benefits and coverages, including

the benefit amounts, duration or limits, elimination periods, inner limits

and any other items appropriate to the coverage provided.


18



4) A description of the terms and conditions of renewability of the policy,

including any limitations by age, time or event, rights to change premium,

status requirements and any other matters appropriate to the terms and

conditions of renewability (including any rights of cancellation reserved to

the insurer).

5) A description of the principal exceptions, reductions and limitations

contained in the policy, including the preexisting conditions, if any, and

the circumstances under which any reduction provisions become

operative.

6) A statement that the Outline of Coverage is only a brief summary of the

policy and is not the contract of insurance. The policy itself sets forth the

rights and obligations of the insured and insurer.



18



1) Heading of the Part: Preferred Provider Programs



2051.220 Amendment

2051.260 Amendment

2051.270 Amendment

2051.285 Amendment

2051.290 Amendment

2051.295 Amendment

2051.300 Amendment

2051.330 Amendment

2051.APPENDIX A Repealed

2051.APPENDIX B Repealed

2051.APPENDIX C Repealed

2051.APPENDIX D Repealed

2051.APPENDIX E Repealed

2051.APPENDIX F Repealed

4) Statutory Authority: Implementing Article XX½ of the Illinois Insurance Code [215

ILCS 5/Art. XX½] and the Workers' Compensation Act [820 ILCS 305], and authorized

by Section 401 of the Illinois Insurance Code [215 ILCS 5/401].

5) A Complete Description of the Subjects and Issues Involved: Upon reviewing current

departmental rules for those that may be duplicative or overly burdensome in nature, it

was determined that Appendices A, B, C, and D of Part 2051 are checklists that merely

repeat language already established in the rule. Appendix E contains several outdated

Biographical Affidavit forms that will be replaced by the current NAIC Biographical

Affidavit form that is now posted on the Department's website. The checklists in

Appendices A, B, C and D, as well as the Preferred Provider Program Administrator

Bond/Fiduciary Account Requirement form contained in Appendix F, have also been

placed on the Department's website with other checklists for continuity. As a result, the

appendices are unnecessary and are being removed from Part 2051. A number of

housekeeping changes are also being made to Part 2051.



None


18














Deputy General Counsel Rules Coordinator




312/814-5398 217/558-0957

fax: 312/814-2862



affected: None






18



TITLE 50: INSURANCE


SUBCHAPTER z: ACCIDENT AND HEALTH INSURANCE

PART 2051

PREFERRED PROVIDER PROGRAMS

Section

2051.210 Purpose

2051.220 Definitions

2051.230 Administrators Not to Assume Underwriting Risk

2051.240 Registration, Renewals and Appeals

2051.250 Fees

2051.260 Administrator Requirements

2051.270 Organizational Requirements

2051.280 Health Care Preferred Provider Program Administrator Payor Agreements

2051.285 Workers' Compensation Preferred Provider Program Payor Agreements

2051.290 Health Care Preferred Provider Program Administrator Provider Agreements

2051.295 Workers' Compensation Preferred Provider Program Provider Agreements

2051.300 Requirements for Agreements with Other Administrators

2051.310 Health Care Preferred Provider Program Administrator Network Availability and

Adequacy Requirements

2051.315 Workers' Compensation Network Availability and Adequacy Requirements

2051.320 Discounted Health Care Services Plan Requirements

2051.330 Insurer Requirements

2051.340 Fiduciary and Bond Requirements

2051.350 Maintenance of Records

2051.360 Advertising and Solicitation

2051.370 Examination

2051.APPENDIX A Health Care Preferred Provider Program Administrator Registration Form

(Repealed)

2051.APPENDIX B Discounted Health Care Services Plan Only Registration (Repealed)

2051.APPENDIX C Insurer Filing Requirements (Repealed)

2051.APPENDIX D Workers' Compensation Preferred Provider Program Administrator

Registration Form (Repealed)

2051.APPENDIX E Illinois or NAIC Biographical Affidavit (Repealed)(Renumbered)

2051.APPENDIX F Preferred Provider Program Administrator Bond/Fiduciary Account

Requirement (Repealed)(Renumbered)


18



AUTHORITY: Implementing Article XX½ of the Illinois Insurance Code [215 ILCS 5/Art.

XX½] and the Workers' Compensation Act [820 ILCS 305], and authorized by Section 401 of

the Illinois Insurance Code [215 ILCS 5/401].

SOURCE: Adopted at 20 Ill. Reg. 9960, effective July 15, 1996; expedited correction at 20 Ill.

Reg. 13435, effective July 15, 1996; amended at 21 Ill. Reg. 16364, effective December 9, 1997;

expedited correction at 22 Ill. Reg. 5126, effective December 9, 1997; old Part repealed at 34 Ill.

Reg. 161 and new Part adopted at 34 Ill. Reg. 163, effective December 16, 2009; amended at 37

Ill. Reg. 2895, effective March 4, 2013; amended at 42 Ill. Reg. ______, effective

____________.


"Act" means the Health Care Reimbursement Reform Act of 1985 [215 ILCS

5/Art. XX½].

"Administrator", "Preferred Provider Program Administrator" or "PPP

Administrator" means any person, partnership or corporation, other than a risk-

bearing entity that arranges, contracts with, or administers contracts with a

provider under which insureds or beneficiaries are provided an incentive to use

the services of the provider. Administrator also includes any person, partnership

or corporation, other than a risk-bearing entity, that enters into a contract with

another administrator to enroll beneficiaries or insureds in a preferred provider

program marketed as an independently identifiable program based on marketing

materials or member benefit identification cards. For the purposes of this Part, an

employer shall be considered an administrator.

"Administrator Trust Fund" or "ATF" means a special fiduciary account

established and maintained by an administrator pursuant to Section 370l of the

Act in which contributions and/or premiums are deposited.

"Advertisement" means any printed or published material, audiovisual material

and descriptive literature of the administrator, discounted health care services plan

administrator, or private label marketer used in direct mail, newspapers,

magazines, radio scripts, television scripts, billboards and similar displays; and

any descriptive literature or sales aids of all kinds disseminated by a

representative of the administrator, discounted health care services plan

administrator, or private label marketer for presentation to the public, including,


18



but not limited to, circulars, leaflets, booklets, depictions, illustrations, form

letters and prepared sales presentations.

"Affiliate" means a person that directly, or indirectly through one or more

intermediaries, controls, or is controlled by, or is under common control with, the

persons specified.

"Beneficiary" means an individual, enrollee, insured, participant or any other

person entitled to reimbursement for covered expenses of, or the discounting of

provider fees for, health care services under a program in which the beneficiary

has an incentive to utilize the services of a provider that has entered into an

agreement or arrangement with an administrator pursuant to Section 370g(f) of

the Act. Beneficiary, for the purposes of a workers' compensation preferred

provider program (WC PPP), shall also include covered employees.


"Control", "controlling", "controlled by" and "under common control with" means

the possession, directly or indirectly, of the power to direct or cause the direction

of the management and policies of a person, whether through the ownership of

voting securities, the holding of policyholders' proxies, by contract other than a

commercial contract for goods or non-management services, or otherwise, unless

the power is solely the result of an official position with or corporate office held

by the person. Control is presumed to exist if any person, directly or indirectly,

owns, controls, holds with the power to vote, or holds shareholders' proxies

representing 10% or more of the voting securities of any other person, or holds or

controls sufficient policyholders' proxies to elect the majority of the board of

directors of the domestic company. This presumption may be rebutted by a

showing made to the Director.

"Covered Employee" means an employee or former employee whose employer

has established or contracted for an approved WC PPP for the provision of health

care services to injured employees in accordance with Section 8.1a of the

Workers' Compensation Act.




18



"Discounted Health Care Services" means health care services provided by health

care services providers under a discounted health care services plan when there

are no other incentives, such as copayment, coinsurance or any other

reimbursement differential, for beneficiaries to utilize the provider.

"Discounted Health Care Services Plan" or "DHCSP" means a preferred provider

program by which beneficiaries, in exchange for fees, dues, charges or other

consideration, are provided an incentive, in the form of discounted health care

services, to use the services of the provider.

"Discounted Health Care Services Plan Administrator" or "DHCSP

Administrator" means an administrator that arranges, contracts with, or

administers contracts with a provider under which insureds or beneficiaries are

provided an incentive to use health care services provided by health care services

providers under a discounted health care services plan in which there are no other

incentives, such as copayment, coinsurance or any other reimbursement

differential, for beneficiaries to utilize the provider. DHCSP administrator also

includes any person, partnership or corporation, other than a risk-bearing entity,

that enters into a contract with another DHCSP administrator to enroll

beneficiaries or insureds in a DHCSP marketed as an independently identifiable

program based on marketing materials or member benefit identification cards.

"Doing Business As" or "DBA" means the name under which discounted health

care services are marketed.

"Economic Evaluation" means any evaluation, as described in Section 8.1a(b) of

the Workers' Compensation Act, of a particular physician, provider, medical

group or individual practice association based in whole or in part on the economic

costs or utilization of services associated with medical care provided or

authorized by the physician, provider, medical group or individual practice

association. Negotiated rates with a provider are not a form of economic

evaluation.

"Emergency Medical Condition" means a medical condition manifesting itself by

acute symptoms of sufficient severity (including severe pain) such that a prudent

layperson, who possesses an average knowledge of health and medicine, could

reasonably expect the absence of immediate medical attention to result in:


18



Placing the health of the individual (or, with respect to a pregnant woman,

the health of the woman or her unborn child) in serious jeopardy;

Serious impairment to bodily functions; or

Serious dysfunction of any bodily organ or part. [215 ILCS 5/370g(h)]

"Employer" means an employer contracting directly with providers, or with

multiple WC PPP administrators for the purposes of implementing a preferred

provider program under Section 8.1a of the Workers' Compensation Act.

"Exclusive Provider Organization" or "EPO" means any arrangement, other than a

health maintenance organization, limited health service organization, voluntary

health services plans, or a DHCSP, under which the beneficiary receives no

coverage or benefits when utilizing non-preferred providers, except when such an

arrangement is shown to be in the best interest of the beneficiaries and has been

expressly approved by the Director in writing. WC PPPs are not a form of EPO.

"Financial Institution" means a federal or State chartered bank or savings and loan

institution.

"Gatekeeper Option" means an option offered by or through a preferred provider

program that requires the beneficiary to preselect a particular primary care

physician, from a list of participating primary care physicians, who shall

coordinate all of the non-emergency primary, specialty, hospital and other health

care services, including referrals to other providers, as a condition for receipt of a

higher level of benefits or reimbursement level, or both.

"Health Care Preferred Provider Program" or "HC PPP" means a preferred

provider program for the provision of health care services provided for health

insurance or discounted health care services coverage.

"Health Care Preferred Provider Program Administrator" or "HC PPP

Administrator" means an administrator of an HC PPP. HC PPP administrator also

includes any person, partnership or corporation, other than a risk-bearing entity,

that enters into a contract with another HC PPP administrator to enroll

beneficiaries or insureds in an HC PPP marketed as an independently identifiable

program based on marketing materials or member benefit identification cards.


18



"Health Care Services" means health care services or products rendered or sold by

a provider within the scope of the provider's license or legal authorization. The

term includes, but is not limited to, hospital, medical, surgical, dental, vision and

pharmaceutical services or products.

"Health Service Corporation" means a voluntary health service plan and/or a

dental service plan licensed under the Voluntary Health Services Plans Act [215

ILCS 165] or the Dental Service Plan Act [215 ILCS 110].

"HMO Act" means the Health Maintenance Organization Act [215 ILCS 125].

"Non-preferred Provider" means any provider that does not have a contractual

relationship, directly or indirectly, with the administrator or DHCSP administrator

for the provision of, or discounting of, health care services.

"Payor" means an entity responsible for bearing the risk of health care services.

An administrator other than a self-insured employer implementing a WC PPP, is

prohibited from being a payor and may not bear or assume any underwriting risk.

"Preferred Provider" means any provider who has entered, either directly or

indirectly, into an agreement with an administrator, employer or risk-bearing

entity relating to health care services that may be rendered to beneficiaries under a

preferred provider program, including providing discounts for health care

services.

"Preferred Provider Arrangements" means policies, agreements or arrangements

with providers relating to the amounts to be charged to beneficiaries or, in the

case of Workers' Compensation preferred provider programs, employers, for

health care services that include incentives for the beneficiary to use those

services, including discounted health care services.

"Preferred Provider Program" or "PPP" means a system to make preferred

provider arrangements available to beneficiaries.

"Primary Care Physician" means a provider who has contracted with an

administrator to provide primary care services as defined by the contract and who

is a physician licensed to practice medicine in all of its branches who spends a

majority of clinical time engaged in general practice or in the practice of internal

medicine, pediatrics, gynecology, obstetrics or family practice, or a chiropractic


18



physician licensed to treat human ailments without the use of drugs or operative

surgery. (See 77 Ill. Adm. Code 240.20.)

"Primary Treating Physician" means a provider who has contracted with a WC

PPP administrator to provide health care services and who is a type of physician

licensed to treat the injury experienced by the covered employee. This physician

will be responsible for managing the care of the covered employee, including

rendering and prescribing treatment.

"Private Label Marketer" means any entity, other than a DHCSP administrator,

that directly or indirectly contracts with an administrator respecting the marketing

or use of a DHCSP under a name other than that of the administrator.

"Provider" means an individual or entity duly licensed or legally authorized to

provide health care services.

"Risk-Bearing Entity" means an insurer, health service corporation, limited health

service organization holding a certificate of authority under the Limited Health

Service Organization Act [215 ILCS 130], or health maintenance organization

holding a certificate of authority under the HMO Act.

"Specialty Preferred Provider Program Administrator" or "SPPP Administrator"

means an administrator of a preferred provider program for the provision of

workers' compensation benefits that contracts with preferred providers for health

care services in one or a limited number of health care specialties, including but

not limited to ambulance services, durable medical equipment, lab and imaging

services, home health services, physical and occupational therapy and pharmacy

benefits. SPPP administrators are subject to the requirements of a WC PPP

administrator, unless specifically exempted, and must contract with a WC PPP

administrator to supplement WC PPPs approved by the Director of Insurance.

"Woman's Principal Health Care Provider" means a physician licensed to

practice medicine in all of its branches specializing in obstetrics or gynecology or

specializing in family practice. [215 ILCS 5/356r(c)(1)]

"Workers' Compensation Preferred Provider Program" or "WC PPP" means a

preferred provider program for the provision of workers' compensation benefits

that meets the requirements of Section 8.1a of the Workers' Compensation Act.


18



"Workers' Compensation Preferred Provider Program Administrator" or "WC PPP

Administrator" means an administrator of a WC PPP.


Section 2051.260 Administrator Requirements

Each applicant for registration shall file the following information and documents with the

Director in the format provided in the Health Care Preferred Provider Program Administrator

Checklist.Appendix A. DHCSP administrators who only administer DHCSPs shall instead file

in the format provided in the Discounted Health Care Services Plan Only Registration

Checklist.Appendix B. WC PPP administrators shall instead file in the format provided in the

Workers' Compensation Preferred Provider Program Administrator Registration Checklist. All

of these checklists are located under "Managed Care License/Registration Information" on the

Department's website at http://insurance.illinois.gov/company/companyMain.html.Appendix D.

a) Organizational requirements identified in Section 2051.270;

b) Sample copies of all payor and provider agreements identified in Sections

2051.280 and 2051.290, when applicable. If the terms and conditions in an

agreement include significant, substantial or material change or additions, the

filing of one complete sample of each type of agreement, together with a

description of all variable terms and conditions, will satisfy this requirement;

c) Signed copies of all current administrative agreements with any entity with which

the applicant contracts to provide services or to meet the requirements of the Act.

Examples of these contracts may include, but are not necessarily limited to,

agreements with other administrators, utilization review organizations, third party

administrators, third party prescription program administrators, risk-bearing

entities, and employers or employer groups for the purposes of WC PPPs.

Agreements at a minimum shall contain the following provisions:

1) Network availability and adequacy requirements identified in Section

2051.310 or 2051.315;

2) If applicable, any DHCSP beneficiary agreement requirements identified

in Section 2051.320;


18



3) Copies of the preferred provider program disclosure statements required to

be furnished to beneficiaries by Section 370m of the Act and illustrative

advertising material to be used by the applicant;

4) A description of programs for utilization review, including procedures for

timely investigation, resolution of questions concerning medical necessity

and appropriateness of medical services and supplies and appeals from

beneficiaries and providers as provided by Section 370s of the Act and

Section 85 of the Managed Care Reform and Patient Rights Act [215 ILCS

134/85] or, for the purposes of WC PPP, Section 8.7 of the Workers'

Compensation Act. Administrators who administer only DHCSPs need not

comply with this subsection;

5) A description of any fiduciary account established by the administrator,

including the location and identification number of the account,

established and maintained pursuant to Section 370l of the Act and

Section 2051.340 of this Part; and/or a bond in compliance with Section

370l of the Act and Section 2051.340 of this Part. If a bond is submitted,

the administrator shall also furnish a certification of the total estimated

annual reimbursements under the preferred provider program, supported

by the methodology used to arrive at that figure;

6) Administrators may not participate in an exclusive provider organization

in this State, except when such an arrangement is shown to be in the best

interest of the beneficiaries and has been expressly approved by the

Director in writing. This subsection (c)(6) does not apply to

administrators offering only DHCSPs.

7) WC PPP administrators that utilize economic evaluation of their providers

shall file a description of any policies and procedures related to the

economic evaluation utilized by the program. The filing shall describe

how these policies and procedures are used in utilization review, peer

review, incentive and penalty programs, and in provider retention and

termination decisions.

8) WC PPP administrators shall provide those policies and procedures

instituted to insure the employer is providing proper notification to the

covered employee in accordance with the form promulgated by the

Workers' Compensation Commission.


18



d) A listing containing the name, address and FEIN of all entities that private label a

DHCSP of the administrator, including:

1) The name of the private label marketer;

2) Any DBA used by the private label marketer; and

3) All product names used by the private label marketer.


Section 2051.270 Organizational Requirements

Upon application for registration, administrators must file the following information:

a) An organizational chart describing the relationship between the administrator, its

parent organization and any affiliates, including the state of domicile and the

primary business of each entity;

b) Proof of registration with the Illinois Secretary of State and the company's FEIN;

c) Names, addresses, official positions and biographical affidavits of the person or

personsas prescribed in Appendix E for the people responsible for the conduct of

the affairs of the administrator, utilizing the current version of the NAIC

Biographical Affidavit form, available under "Managed Care License/Registration

Information" on the Department's website at http://insurance.illinois.gov/

company/companyMain.html; and

d) Location of all administrative offices of the administrator located in this State and

regular business hours during which offices are open.


Section 2051.285 Workers' Compensation Preferred Provider Program Payor Agreements

Any payor agreements between WC PPP administrators and payors shall contain, at a minimum:


18



a) Terms requiring and specifying all incentives to be provided to the insured to

utilize services of a provider that has entered into an agreement with the

administrator;

b) Terms stating that, whenever an administrator or a preferred provider finds it

medically necessary to refer a beneficiary to a non-preferred provider because the

preferred provider program does not contain a provider who can provide the

approved treatment, and if the beneficiary has complied with any reasonable pre-

authorization requirements, the payor shall ensure that the beneficiary so referred

shall incur no greater liability than had the beneficiary received services from a

preferred provider, except as provided under Section 8.1a(c)(2) and Section 8.2(e)

of the Workers' Compensation Act;

c) Terms stating that, whenever an administrator or a preferred provider finds it

medically necessary to refer a beneficiary to a non-preferred provider because the

preferred provider program does not contain a provider who can provide the

approved treatment, and if the beneficiary has complied with any reasonable pre-

authorization requirements consistent with Section 8.1a of the Workers'

Compensation Act, the WC PPP shall ensure that the covered employee will be

provided the covered services by a non-preferred provider in accordance with the

fees established by the Workers' Compensation Fee Schedule (see 50 Ill. Adm.

Code 9110.907110.90 and the WCC website at https://iwcc.ingenix.com/

iwcc.asp).


Section 2051.290 Health Care Preferred Provider Program Administrator Provider

Agreements

Administrators shall file a sample of copy of all provider agreements. WC PPPs are exempt from

the requirements of this Section, but must instead comply with the requirements of Section

2051.295. The agreements shall contain, at a minimum:

a) A provision identifying the specific covered health care services for which the

preferred provider will be responsible, including any discount services,

copayments, benefit maximums, limitations and exclusions, as well as any

discount amount or discounted fee schedule reflecting discounted rates;


18



b) A provision requiring the provider to comply with applicable administrative

policies and procedures of the administrator including, but not limited to

credentialing or recredentialing requirements; and, except for DHCSP

administrators, utilization review requirements, and referral procedures;

c) Medical Records

1) A provision requiring that, when payments are due to the provider for

services rendered to a beneficiary, the provider must maintain and make

medical records available:

A) To the administrator and/or insurer for the purpose of determining,

on a concurrent or retrospective basis, the medical necessity and

appropriateness of care provided to beneficiaries;

B) To appropriate State and federal authorities and their agents

involved in assessing the accessibility and availability of care or

investigating member grievances or complaints; and

C) To show compliance with the applicable State and federal laws

related to privacy and confidentiality of medical records.

2) This subsection (c) does not apply to administrators offering only a

DHCSP;

d) A provision requiring providers to be licensed by the State, and to notify the

administrator immediately whenever there is a change in licensure or certification

status;

e) A provision requiring all physician providers licensed to practice medicine in all

its branches to have admitting privileges in at least one hospital with which the

administrator has a written provider contract. The administrator shall be notified

immediately of any changes in privileges at any hospital or admitting facility.

Reasonable exceptions shall be made for physicians who, because of the type of

clinical specialty, or location or type of practice, do not customarily have

admitting privileges. This subsection (e) does not apply to administrators offering

only DHCSPs;


18



f) A provision describing notification procedures for contract termination.

Termination provisions shall require:

1) Not less than 30 days prior written notice by either party who wishes to

terminate the contract without cause;

2) That the administrator may immediately terminate the provider contract

for cause; and

3) If applicable, that a provider, acting as primary care physician under plans

requiring a gatekeeper option, must provide the administrator with a list of

all patients using that provider as a gatekeeper within 5 working days after

the date that the provider either gives or receives notice of termination;

g) A provision explaining the provider responsibilities for continuation of covered

services in the event of contract termination, to the extent that an extension of

benefits is required by law or regulation, or that continuation is voluntarily

provided by the administrator. This subsection (g) does not apply to

administrators offering only a DHCSP;

h) A provision stating that the rights and responsibilities under the contract cannot be

sold, leased, assigned, assumed or otherwise delegated by either party without the

prior written consent of the other party. The provider's written consent must be

obtained for any assignment or assumption of the provider contract whenever an

administrator or insurer is bought by another administrator or insurer. A clause

within the provider contract allowing assignment will be deemed consent so long

as the assignment is in accordance with the terms of the contract. The assignee

must comply with all the terms and conditions of the contract being assigned,

including all checklistsappendices, policies and fee schedules;

i) A provision stating that the preferred provider has and will maintain adequate

professional liability and malpractice coverage, through insurance, self-funding,

or other means satisfactory to the administrator. The administrator must be

notified within no less than 10 days after the provider's receipt of notice of any

reduction or cancellation of the required coverage;

j) A provision stating that the provider will provide health care services without

discrimination against any beneficiary on the basis of participation in the


18



preferred provider program, source of payment, age, sex, ethnicity, religion,

sexual preference, health status or disability;

k) A provision regarding the preferred provider's obligation, if any, to collect

applicable copayments, coinsurance and/or deductibles from beneficiaries as

provided by the beneficiary's health care services contract, and to provide notice

to beneficiaries of their personal financial obligations for non-covered services.

This provision shall include any amount of applicable discounts or, alternatively,

a fee schedule that reflects any discounted rates. For DHCSPs only, a provision

that providers may not charge beneficiaries more than any applicable discounted

rates in accordance with payment terms and provisions contained in a DHCSP

agreement signed by a beneficiary;

l) A provision regarding any obligation to provide covered health services on a 24

hour per day, 7 day per week basis;

m) A provision clearly describing the administrator's and payor's payment obligations

to the provider. For DHCSPs, neither administrators nor payors may pay

providers for health care services provided to beneficiaries. For DHCSPs, neither

administrators nor payors may accept money from a beneficiary for payment to a

provider for specific health care services furnished or to be furnished to the

beneficiary;

n) A provision identifying the administrative services, if any, the administrator will

perform and the types of information (e.g., financial, enrollment, utilization) that

will be submitted to the provider, as well as other information that is accessible to

the provider;

o) A provision obligating the administrator to provide a method for providers to

access each payor to obtain benefit information and adequate notice of change in

benefits and copayments, and a provision obligating the administrator to provide

all of the administrator's operational policies. This subsection does not apply to

administrators offering only a DHCSP; and

p) A provision identifying applicable internal appeal or arbitration procedures for

settling contractual disputes or disagreements between the administrator and

preferred provider.



18



Section 2051.295 Workers' Compensation Preferred Provider Program Provider

Agreements

All provider agreements between providers and insurers, employers or WC PPP administrators

with regard to a WC PPP shall contain, at a minimum:

a) A provision stating, within the preamble, that the agreement conforms to the

requirements of Section 8.1a of the Illinois Workers' Compensation Act;

b) A provision identifying the specific covered health care services for which the

preferred provider will be responsible, including any discount services, limitations

and exclusions, as well as any discount amount or discounted fee schedule

reflecting discounted rates;

c) A provision requiring the provider to comply with applicable administrative

policies and procedures of the administrator, including, but not limited to,

credentialing or recredentialing requirements, utilization review requirements, and

referral procedures;

d) A provision requiring that, when payments are due to the provider for services

rendered to a beneficiary, the provider must maintain and make the beneficiary's

medical records available:

1) To the administrator and/or payor for the purpose of determining, on a

concurrent or retrospective basis, the compensability, medical necessity

and appropriateness of care provided to beneficiaries;

2) To appropriate State and federal authorities and their agents involved in

assessing the accessibility and availability of care or investigating member

grievances or complaints; and

3) To show compliance with the applicable State and federal laws related to

privacy and confidentiality of medical records;

e) A provision requiring providers to be licensed by the state and to notify the

administrator immediately whenever there is a change in licensure or certification

status;


18



f) A provision requiring all physician providers licensed to practice medicine in all

its branches to have admitting privileges in at least one hospital. The

administrator shall be notified immediately of any changes in privileges at any

hospital or admitting facility. Reasonable exceptions shall be made for physicians

who, because of the type of clinical specialty or location or type of practice, do

not customarily have admitting privileges;

g) A provision describing notification procedures for contract termination.

Termination provisions shall require:

1) Not less than 30 days prior written notice by either party who wishes to

terminate the contract without cause; and

2) that the administrator may immediately terminate the provider contract for

cause;

h) A provision explaining the provider's responsibilities for continuation of covered

services in the event of contract termination, to the extent that an extension of

benefits is required by law or regulation or that continuation is voluntarily

provided by the administrator;

i) A provision stating that the rights and responsibilities under the contract cannot be

sold, leased, assigned, assumed or otherwise delegated by either party without the

prior written consent of the other party. Similarly, the provider's written consent

must be obtained for any assignment or assumption of the provider contract

whenever an administrator or insurer is bought by another administrator or

insurer. A clause within the provider contract allowing assignment will be deemed

consent so long as the assignment is in accordance with the terms of the contract.

The assignee must comply with all the terms and conditions of the contract being

assigned, including all checklistsappendices, policies and fee schedules;

j) A provision stating that the preferred provider has and will maintain adequate

professional liability and malpractice coverage, through insurance, self-funding or

other means satisfactory to the administrator. The administrator must be notified

within no less than 10 days after the preferred provider's receipt of notice of any

reduction or cancellation of the required coverage;

k) A provision stating that the provider will provide health care services without

discrimination against any beneficiary on the basis of participation in the


18



preferred provider program, source of payment, age, sex, ethnicity, religion,

sexual preference, health status or disability;

l) A provision regarding the preferred provider's obligation to provide notice to

beneficiaries of their personal financial obligations for non-covered services;

m) A provision that providers may charge covered employees for those services

determined to be not compensable under the Workers' Compensation Act;

n) A provision regarding any obligation to provide covered health services on a 24

hour per day, 7 day per week basis;

o) A provision clearly describing the administrator's and payor's payment obligations

to the provider, including but not limited to the payment of statutory interest on

late payments as required in Section 8.2(d)(3) of the Workers' Compensation Act;

p) A provision identifying the administrative services, if any, the administrator will

perform and the types of information (e.g., financial, enrollment, utilization) that

will be submitted to the provider, as well as other information that is accessible to

the provider;

q) A provision obligating the administrator to provide a method for providers to

access each payor to obtain benefit information and a provision obligating the

administrator to provide all of the administrator's operational policies; and

r) A provision identifying applicable internal appeal or arbitration procedures for

settling contractual disputes or disagreements between the administrator and

preferred provider.


Section 2051.300 Requirements for Agreements with Other Administrators

a) Before entering into a contract with another administrator to administer programs,

policies or subscriber contracts in this State as provided by Section 370i(b)(2) of

the Act, an administrator shall perform due diligence to ensure the other entity is

properly registered under this Part or otherwise appropriately licensed under the

Code.


18



b) Any provider contract or preferred provider program that is sold, leased, assigned,

assumed or otherwise delegated must have the terms of that transaction affecting

the provision of health care services by providers, including any additional

discount, repricing or other consideration, clearly described in the contract. The

administrator or payor accessing the provider network shall be contractually

obligated to comply with all applicable terms, limitations and conditions of the

provider network contract, including all appendices, policies and fee schedules.

An administrator shall provide to the provider upon request a written or electronic

list of all current payors to which the provider contract or program has been sold,

leased, assigned, assumed or otherwise delegated.

c) An administrator shall approve in writing, prior to use, all advertisements,

marketing materials, brochures and, if applicable, identification cards used by any

other administrator to market, promote, sell or enroll members in its preferred

provider program.

d) No preferred provider program may be sold, leased, assigned, assumed or

otherwise delegated to another administrator without the prior written consent of

the providers contracting under the program. A clause within the provider contract

allowing assignment will be deemed consent so long as the assignment is in

accordance with terms of the contract. The assignee must comply with all the

terms and conditions of the contract being assigned, including all

checklistsappendices, policies and fee schedules.


Section 2051.330 Insurer Requirements

a) As required by Section 143(1) of the Code and consistent with the requirements

of 50 Ill. Adm. Code 916, insurers must file the following compliance documents

in the format prescribed in the Insurer Filing Requirements Form, located under

"Managed Care License/Registration Information" on the Department's website at

http://insurance.illinois.gov/company/companyMain.html,Appendix C each time a

policy incorporating a preferred provider arrangement is filed, or when the insurer

markets, leases, sells or otherwise issues DHCSPs to beneficiaries, either directly

or indirectly, independent of insurance coverage:

1) Sample copies of all payor agreements as required by Section 2051.280,

when applicable, and provider agreements as required by Section


18



2051.290. If the terms and conditions in the agreements include

significant, substantial or material changes or additions, the filing of one

complete sample of each type of agreement, together with a description of

all variable terms and conditions, will satisfy this requirement;

2) Valid and current signed administrator agreements pursuant to Section

2051.300;

3) Network availability and adequacy requirements pursuant to Section

2051.310; and

4) DHCSPs' requirements pursuant to Section 2051.320, if applicable.

b) When incorporated in a policy filing, the filing requirements of subsection (a)

may be waived if the preferred provider arrangement information had previously

been filed and is identified in the subsequent filing.

c) Any material changes or additions to the preferred provider program filed in

accordance with subsection (a) must be reported to the Director within 30 days

after the end of the month of each change or addition. The change or addition

shall be filed informationally in accordance with Section 143(1) of the Code and

consistent with the requirements of 50 Ill. Adm. Code 916. A material change or

addition includes any modification of the information required by this Part that

has significant effect on the operation of the administrator or DHCSP

administrator or on the availability and accessibility of health care.

d) All advertising and solicitation by an insurer regarding a DHCSP must comply

with the requirements established by Section 2051.360.

e) Insurers may not market EPO plans in this State, except when such an

arrangement is shown to be in the best interest of the beneficiaries and has been

expressly approved by the Director in writing.

f) Insurers offering a DHCSP as part of a policy of insurance must set off the

DHCSP provisions from the insurance coverage and disclose information as

required by Section 2051.320(d)(3) through (5).



18



Section 2051.APPENDIX A Health Care Preferred Provider Program Administrator

Registration Form (Repealed)

Name of Firm Tax # (FEIN)

Business Address (Number, Street, City, State & Zip)

Phone Fax Email Address

Person Responsible for submitting application: Phone

FEE REQUIREMENT REFERENCE COMMENTS

Fee Required With

Application

50 Ill. Adm. Code

2051.250

Initial registration fee of

$1,000 must be submitted

with application for Preferred

Program Provider

Administrator.

ADMINISTRATOR

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.260 COMMENTS

REFERENCE

Please type or

print where the

information is

located.

Signed Contracts 50 Ill. Adm. Code

2051.260(c)

Signed copies of all current

administrative agreements

with any entity with which the

applicant contracts to provide

services for or meet the

requirements of this Act.

Examples of these contracts

may include, but are not

necessarily limited to,

agreements with other

administrators, utilization

review organizations, third

party administrators, third

party prescription program

administrators, insurers,


18



health maintenance

organizations and health

service corporations.

Listing of Private Label

Entities

50 Ill. Adm. Code

2051.260(d)

A listing containing the name,

address and FEIN of all

entities that private label a

DHCSP of the administrator.

ORGANIZATIONAL

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.270 COMMENTS

REFERENCE

Please type or

print where

theinformation is

located

Organization Chart 50 Ill. Adm. Code

2051.270(a)

An organizational chart

describing the relationship

among the administrator, its

parent organization and any

affiliates, including the state

of domicile and the primary

business of each entity.

Corporation Information 50 Ill. Adm. Code

2051.270(b)

Proof of registration with the

Illinois Secretary of State and

the company's FEIN.

Biographical Affidavits 50 Ill. Adm. Code

2051.270(c)

Appendix E

A list of the names,

addresses, official positions

and biographical affidavits of

the persons responsible for

the conduct of the affairs of

the administrator (as

presented in Appendix E or

the NAIC Biographical

Affidavit Form).

Office Location and

Hours

50 Ill. Adm. Code

2051.270(d)

Location of the

administrative offices of the

administrator located in this

State and regular business

hours during which offices

are open. If administrative

offices are not in this State,


18



then the name and address of

the Agent for Service of

Process filed with the Illinois

Secretary of State.

HEALTH CARE

PREFERRED

PROVIDER

PROGRAM

PAYOR

AGREEMENTS

Each applicant for

registration shall file

sample copies of all

payor agreements, when

applicable. Agreements

at a minimum shall

contain the following

provisions.

REFERENCE

50 Ill. Adm. Code

2051.280 COMMENTS

REFERENCE Please type or

print where

theinformation is

located.

Incentives 50 Ill. Adm. Code

2051.280(a)

Terms requiring and

specifying all incentives to be

provided to the beneficiary to

utilize services of a provider

that has entered into an

agreement with the

administrator.

Out-of-Network

Referrals

50 Ill. Adm. Code

2051.280(b)

Terms stating that, whenever

an administrator or a

preferred provider finds it

medically necessary to refer a

beneficiary to a non-preferred

provider, the payor shall

ensure that the beneficiary so

referred shall incur no greater

out of pocket liability than

had the beneficiary received

services from a preferred

provider. Subsection (b) does

not apply to a beneficiary


18



who willfully chooses to

access a non-preferred

provider for health care

services available through the

administrator's panel of

participating providers. In

these circumstances, the

contractual requirements for

non-preferred provider

reimbursements will apply.

Identification Card

References

50 Ill. Adm. Code

2051.280(c)

Terms requiring that both the

payor's and administrator's

name and toll-free telephone

numbers be contained on the

beneficiaries' identification

card.

Prohibition on

Administrator Assuming

Risk

50 Ill. Adm. Code

2051.280(d)

Terms specifying that only

the payor may assume any

underwriting risk when that

risk is part of the delivery of

services.

HEALTH CARE

PREFERRED

PROVIDERPROGRAM

AGREEMENTS

Each applicant for



provider agreements,

when applicable.

Agreements at a

minimum shall contain

the following provisions.

REFERENCE

50 Ill. Adm. Code

2051.290 COMMENTS


print where the

information is

located.

Covered

Services/Beneficiary

Payment Responsibility

50 Ill. Adm. Code

2051.290(a)

A provision identifying the

specific covered health care

services for which the

preferred provider will be

responsible including any


18



discount services,

copayments, benefit

maximums, limitations and

exclusions, as well as any

discount amount or

discounted fee schedule

reflecting discounted rates,

shall be enumerated.

Provider Administrative

Responsibilities

50 Ill. Adm. Code

2051.290(b)

A provision requiring the

provider to comply with

applicable administrative

policies and procedures of

the administrator including,

but not limited to

credentialing,

recredentialing, utilization

review requirements and

referral procedures where

applicable.

Availability of Medical

Records

50 Ill. Adm. Code

2051.290(c)

A provision requiring that

when payments are due to the

provider for services

rendered to a beneficiary, the

provider must maintain and

make medical records

available to the administrator

and/or insurer for the purpose

of determining, on a

concurrent or retrospective

basis, the medical necessity

and appropriateness of care

provided to beneficiaries.

Such medical records must

also be made available to

appropriate State and federal

authorities and their agents

involved in assessing the

accessibility and availability

of care or investigating


18



member grievances or

complaints and to comply

with the applicable State and

federal laws related to

privacy and confidentiality of

medical records.

Provider Licensure

Requirements

50 Ill. Adm. Code

2051.290(d)

A provision requiring

providers to be licensed by

the State, and to notify the

administrator immediately

whenever there is a change in

licensure or certification

status.

Hospital Admitting

Privileges

50 Ill. Adm. Code

2051.290(e)

A provision requiring all

physician providers licensed

to practice medicine in all its

branches to have admitting

privileges in at least one

hospital with which the

administrator has a written

provider contract. The

administrator shall be

notified immediately of any

changes in privileges at any

hospital or admitting facility.

Reasonable exceptions shall

be made for physicians who,

because of the type of

clinical specialty, or location

or type of practice, do not

customarily have admitting

privileges. This does not

apply to administrators

offering only DHCSPs.

Provider Contract

Termination

50 Ill. Adm. Code

2051.290(f)

Termination provisions shall

require: (1) Not less than 30

days prior written notice by

either party who wishes to

terminate the contract


18



without cause; (2) That the

administrator may terminate

the provider contract for

cause immediately; and (3)

That the provider acting as

primary care physician under

plans requiring a gatekeeper

option must provide the

administrator with a list of all

patients using that provider

as a gatekeeper within 5

working days after the date

that the provider either gives

or receives notice of

termination.

Continuation of Services 50 Ill. Adm. Code

2051.290(g)

A provision explaining the

provider responsibilities for

continuation of covered

services in the event of

contract termination, to the

extent that an extension of

benefits is required by law or

regulation, or that such

continuation is voluntarily

provided by the

administrator. This does not

apply to administrators

offering only a DHCSP.

Delegation of Rights

Under the Contract

50 Ill. Adm. Code

2051.290(h)

A provision stating that the

rights and responsibilities

under the contract cannot be

sold, leased, assigned,

assumed or otherwise

delegated by either party

without the prior written

consent of the other party.

The provider's written

consent must be obtained for

any assignment or


18



assumption of the provider

contract whenever an

administrator or insurer is

bought by another

administrator or insurer. A

clause within the provider

contract allowing assignment

will be deemed consent so

long as the assignment is in

accordance with the terms of

the contract. The assignee

must comply with all the

terms and conditions of the

contract being assigned,

including all appendices,

policies and fee schedules.

Liability and Malpractice

Coverage

50 Ill. Adm. Code

2051.290(i)


preferred provider has and

will maintain adequate

professional liability and

malpractice coverage,

through insurance, self-

funding, or other means

satisfactory to the

administrator. The

administrator must be

notified within no less than

ten days after the provider's

receipt of notice of any

reduction or cancellation of

such coverage.

Non-Discrimination 50 Ill. Adm. Code

2051.290(j)


provider will provide health

care services without

discrimination against any

beneficiary on the basis of

participation in the preferred

provider program, source of

payment, age, sex, ethnicity,


18



religion, sexual preference,

health status or disability.

Requirement for Provider

Collection of Out-of-

Pocket Amounts from

Beneficiary

50 Ill. Adm. Code

2051.290(k)

A provision regarding the

preferred provider's

obligation, if any, to collect

applicable copayments,

coinsurance and/or

deductibles from

beneficiaries as provided by

the beneficiary's health care

services contract, and to

provide notice to

beneficiaries of their personal

financial obligations for non-

covered services. This

provision shall include any

amount of applicable

discounts or, alternatively, a

fee schedule that reflects any

discounted rates. For

DHCSPs only, a provision

that providers may not

charge beneficiaries more

than any applicable

discounted rates in

accordance with payment

terms and provisions

contained in a DHCSP

agreement signed by a

beneficiary.

24/7 Accessibility 50 Ill. Adm. Code

2051.290(l)

A provision regarding any

obligation to provide covered

health services on a 24 hour

per day, 7 day per week

basis.

Payment Obligations 50 Ill. Adm. Code

2051.290(m)

A provision clearly

describing the administrator's

and payor's payment

obligations to the provider.


18



For DHCSPs, neither

administrators nor payors

may pay providers for health

care services provided to

beneficiaries. For DHCSPs,

neither administrators nor

payors may accept money

from a beneficiary for

payment to a provider for

specific health care services

furnished or to be furnished

to the beneficiary.

Administrative Services 50 Ill. Adm. Code

2051.290(n)


administrative services, if

any, the administrator will

perform and the types of

information (financial,

enrollment and utilization)

that will be submitted to the

provider as well as other

information that is accessible

to the provider.

Arbitration Procedures 50 Ill. Adm. Code

2051.290(p)

A provision identifying

applicable internal appeal or

arbitration procedures for

settling contractual disputes

or disagreements between the

administrator and preferred

provider.

ADMINISTRATOR

AGREEMENTS

Each applicant for



administrative

agreements, when


at a minimum shall

REFERENCE

50 Ill. Adm. Code

2051.300 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


18




provisions.

Due Diligence 50 Ill. Adm. Code

2051.300(a)

Before entering into a

contract with another

administrator to administer

programs, policies or

subscriber contracts in this

State as provided by 215

ILCS 5/370i(b)(2), an

administrator shall perform

due diligence to ensure the

other entity is properly

registered under this Part or

otherwise appropriately

licensed under the Insurance

Code.

Terms for the Delegation

of Rights Under the

Contract

50 Ill. Adm. Code

2051.300(b)

Any provider contract or

preferred provider program

that is sold, leased, assigned,


delegated must have the

terms of that transaction

affecting the provision of

health care services by

providers, including any

additional discount,

repricing, or other

consideration, clearly

described in the contract. The

administratoror payor

accessing the provider

network shall be

contractually obligated to

comply with all applicable

terms, limitations and

conditions of the provider

network contract, including

all appendices, policies and

fee schedules. An


18



administrator shall provide to

the provider upon request a

written or electronic list of all

current payors and

administrators to which the

provider contract or program

has been sold, leased,

assigned, assumed or

otherwise delegated.

Administrator

Marketing

Responsibility

50 Ill. Adm. Code

2051.300(c)

An administrator shall

approve in writing prior to

use all advertisements,

marketing materials,

brochures and identification

cards used by any other

administrator to market,

promote, sell or enroll

members in its preferred

provider program.


Under the Contract

50 Ill. Adm. Code

2051.300(d)

No preferred provider

program may be sold, leased,


otherwise delegated to

another administrator without

the prior written consent of

the providers contracting

under the program. A clause

within the provider contract

allowing assignment will be

deemed consent so long as

the assignment is in









18



HEALTH CARE

PREFERRED

PROVIDER

PROGRAM

NETWORK

AVAILABILITY

AND ACCESS

Each applicant for

registration shall file the

following information

and documents with the

Director

REFERENCE

I50 ll. Adm. Code

2051.310 COMMENTS

REFERENCE

Please type or

print where the

information is

located.

Method of Marketing 50 Ill. Adm. Code

2051.310(a)(1)

Provide the Department with

information relating to the

method of marketing the

program.

Geographic Map with

Providers Marked

50 Ill. Adm. Code

2051.310(a)(2)

A geographic map of the area

proposed to be served by the

program by county and zip

code, including marked

locations of preferred

providers.

List of Providers Names,

Addresses and

Specialties

50 Ill. Adm. Code

2051.310(a)(3)

Number of Anticipated

Beneficiaries

50 Ill. Adm. Code

2051.310(a)(4)

Members enrolled in the

State of Illinois.

Website and Telephone

Number Requirements

50 Ill. Adm. Code

2051.310(a)(5)

An Internet website and toll-

free telephone number for

beneficiaries and prospective

beneficiaries to access

regarding up-to-date lists of

preferred providers,

additional information about

the DHCSP, as well as any

other information necessary

to conform to this Part. A

plan shall identify specific

providers in a beneficiary's


18



area, confirm specific

provider participation or

provide a listing of preferred

providers by mail. Preferred

provider lists requested by

phone must be sent within 3

working days. The up-to-date

provider list applies to all

providers that have entered

arrangements to provide

services under the program

either directly, or indirectly

through another

administrator. Administrators'

and insurers' Internet website

addresses shall be

prominently displayed on all

advertisements, marketing

materials, brochures, benefit

cards and identification cards.

Description of

Accessibility and

Availability of Network

50 Ill. Adm. Code

2051.310(a)(6)

Type of Services to be

Provided

50 Ill. Adm. Code

2051.310(a)(6)(A)

The type of health care

services to be provided by the

administrator network.

Ratio of Providers to

Beneficiaries

50 Ill. Adm. Code

2051.310(a)(6)(B)

The ratio of providers to

beneficiaries by specialty,

including primary care

physicians, where applicable

under the contract, necessary

to meet the health care needs

and service demands of the

currently enrolled population.

Greatest Travel Distance 50 Ill. Adm. Code

2051.310(a)(6)(C)

The greatest distance or time

that the beneficiary must

travel to access: (i) Preferred

provider hospital services

where applicable under the


18



contract; (ii) Primary care

physician and woman's

principal health care provider

services where applicable

under the contract; (iii) Any

applicable health care service

providers.

Policies for Closing a

Network to New

Providers

50 Ill. Adm. Code

2051.310(a)(6)(D)

Policies for Adding New

Providers

50 Ill. Adm. Code

2051.310(a)(6)(E)

24/7 Network Access 50 Ill. Adm. Code

2051.310(a)(6)(F)

The provision of 24 hour,

seven day per week access to

network affiliated primary

care and woman's principal

health care providers. Not

applicable to administrators

offering only a DHCSP.

Referral Procedures 50 Ill. Adm. Code

2051.310(a)(6)(G)

The procedures for making

referrals within and outside

the network. Not applicable

to administrators offering

only a DHCSP.

Inadequate Networks 50 Ill. Adm. Code

2051.310(a)(6)(H)

In any case in which a

beneficiary has made a good

faith effort to utilize preferred

providers for a covered

service and it is determined

the administrator does not

have the appropriate

preferred providers due to

insufficient number, type or

distance, the administrator

shall ensure, directly or

indirectly, by terms contained

in the payor contract, that the

beneficiary will be provided

the covered service at no


18



greater cost to the beneficiary

than if the service had been

provided by a preferred

provider. Subsection

(a)(6)(H) does not apply to a

beneficiary who willfully

chooses to access a non-

preferred provider for health

care services available

through the administrator's

panel of participating

providers. In these

circumstances, the




Not applicable to

administrators offering only a

DHCSP.

Special Communication

Needs

50 Ill. Adm. Code

2051.310(a)(6)(L)

Efforts to address the needs

of beneficiaries with limited

English proficiency and

illiteracy, with diverse

cultural and ethnic

backgrounds, and with

physical and mental

disabilities.

Identification Card 50 Ill. Adm. Code

2051.310(a)(6)(M)

A sample beneficiary

identification card in

conformity with the Uniform

Health Care Service Benefits

Information Card Act [215

ILCS 139], and the Uniform

Prescription Drug


ILCS 138] when

pharmaceutical services are

provided as part of the


18



program's health care

services.

Gatekeeper 50 Ill. Adm. Code

2051.310(a)(6)(N)

When a gatekeeper option is

included as part of the

program, beneficiaries shall

make a good faith effort to

provide written notice of

termination of a provider to

all beneficiaries who are

patients seen on a regular

basis by a provider whose

contract is terminating. When

a contract termination

involves a primary care

physician, in a gatekeeper

option, all beneficiaries who

are patients of that primary

care physician shall also be

notified. This does not apply

to administrators that only

provide DHCSPs.

Medical Record Costs 50 Ill. Adm. Code

2051.310(c)

Enrollees are not responsible

for any reasonable costs

associated with medical

record transmission or

duplication in order to have a

claim adjudicated.

DISCOUNTED

HEALTH CARE

SERVICES PLAN

AGREEMENTS

Each applicant for



DHCSP agreements,

when applicable.

Agreements at a

REFERENCE

50 Ill. Adm. Code

2051.320

COMMENTS

Only those administrators that

also provide DHCSP benefits

must comply with the

requirements of Section

2051.320.

REFERENCE

Please type or

print where the

information is

located.


18





Written Agreement

Required

50 Ill. Adm. Code

2051.320(a)

A DHCSP administrator shall

have a written agreement

between the administrator and

its beneficiaries that specifies

the benefits a beneficiary is to

receive under the DHCSP.

Cancellation Rights 50 Ill. Adm. Code

2051.320(b)(1)

A provision establishing the

right for the beneficiary to

cancel at any time. If a

beneficiary cancels within 30

days after the date of receipt

of the identification card and

other membership materials,

the beneficiary will be

reimbursed all money paid

except any fee authorized by

Section 2051.320(f).

No Restrictions on

Access to Providers

50 Ill. Adm. Code

2051.320(b)(2)

A provision establishing that

beneficiaries will have free

access to DHCSP providers

without restrictions to waiting

periods, notification periods,

etc. (except for hospital

discounts).

Method of Payment 50 Ill. Adm. Code

2051.320(b)(3)

A provision allowing a

beneficiary to modify the

method of payment upon

request, unless a specific

method of payment is

stipulated within the

agreement.

Electronic Fund Transfer

Limitation

50 Ill. Adm. Code

2051.320(b)(3)

DHCSP administrators may

not continue using electronic

fund transfers after receiving

a beneficiary's written request

to terminate electronic fund


18



transfers as a method of

payment.

DOI Complaint Filing 50 Ill. Adm. Code

2051.320(b)(4)

The procedures for filing

complaints with the plan and

the availability and contact

information for the Illinois

Department of Insurance.

These procedures must

contain, at a minimum, a

statement that the DHCSP

shall provide specific contact

information for the

Department upon request.

Required Disclosures 50 Ill. Adm. Code

2051.320(d)

DHCSP administrators must

provide the following

disclosures in writing to any

prospective beneficiary of a

DHCSP before purchase as

well as in all beneficiary

agreements. If the initial

contact with the prospective

beneficiary is by telephone,

the disclosure shall be made

orally and included in the

written agreement required by

Section 2051.320(a). The

disclosures shall also be

provided on the first page of

any advertisements,

marketing materials or

brochures relating to a

DHCSP or if that is not

possible, on the first page

listing plan information.

Not an Insurance Policy 50 Ill. Adm. Code

2051.320(d)(1)

Providers and Services 50 Ill. Adm. Code

2051.320(d)(2)


18



The Plan Does Not Make

Payments to Providers

50 Ill. Adm. Code

2051.320(d)(3)

Beneficiary Must Pay for

All Discounted Services

50 Ill. Adm. Code

2051.320(d)(4)

The plan beneficiary is

obligated to pay for all

discounted health care

services, but will receive a

discount from those providers

that have contracted with the

DHCSP administrator.

Toll-Free Number and

Website Access

50 Ill. Adm. Code

2051.320(d)(5)

The administrator's toll-free

telephone number and

Internet website page where


beneficiaries may obtain


the DHCSP and lists of

providers participating in the

DHCSP.

Itemized Discounted

Health Care Services

Plan Costs

50 Ill. Adm. Code

2051.320(e)

Whenever a DHCSP is sold

in conjunction with any other

product that can be purchased

separately, including a policy

of insurance, the

administrator or DHCSP

administrator must provide in

writing to the beneficiary the

charges for the DHCSP

product.

Limitation on Fees 50 Ill. Adm. Code

2051.320(f)

Any initial one-time

processing, administrative or

other such non-regular fee

may not exceed $30.


Marketers

50 Ill. Adm. Code

2051.320(g)


annually file with the

Director a listing of all

private label marketers with

whom it has a direct or

indirect contractual

relationship respecting the


18



marketing or use of the

administrator's DHCSP under

a name other than that of the

administrator. A DHCSP

administrator shall inform the

Department of any additional


whom it contracts and of any

cancellation or non-renewal

of a contract within 30 days

after the execution,


of the contracts. A listing of

private label marketers must

contain: (1) the name, address

and FEIN of the private label

marketer; (2) any DBA used

by the private label marketer;

and (3) all product names

used by the private label

marketer.

Administrator

Responsibilities for

Private Label Marketers

50 Ill. Adm. Code

2051.320(h)


ensure that any private label

marketer who it identifies

under subsection (g) or with

whom it has an obligation to

identify under subsection (g):

(1) prominently discloses

within all descriptions of

benefits and member

materials the name of any

administrator and DHCSP

administrator whose DHCSP

is being provided; (2)

prominently discloses within

all marketing materials the

name of any DHCSP




18



prominently discloses the

private label marketer's

product name and the name

or name and logo of available

networks on the member's

identification card; and (4)

complies with the applicable

DHCSP administrator

provisions of this Part.


Not Identified

50 Ill. Adm. Code

2051.320(i)

A private label marketer that

is not identified as such

pursuant to subsection (g)

must register as a DHCSP

administrator under this Part.

Participating Provider

Listing

50 Ill. Adm. Code

2051.320(j)

A DHCSP shall identify

specific providers in a

beneficiary's area, confirm

specific provider participation

or provide a listing of

participating providers by

mail. Participating provider

lists requested by phone must

be sent within 3 working

days. Any provider listing

must include all participating

providers with whom the

administrator has contracted

either directly or indirectly

through another DHCSP

administrator.

FIDUCIARY AND

BONDING

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.340 COMMENTS

REFERENCE

Please type or

print where the

information is

located.

Holder of Bond 50 Ill. Adm. Code

2051.340(c)(2)

and Appendix F

If a bond of indemnity is

posted, it shall be held by

the Director of Insurance in


18



favor of the beneficiaries

and payors of services under

the preferred provider

program operated by the

administrator.

Declaration:

The undersigned declares that the statements made in this application are true, correct and

complete to the best of his/her knowledge and belief.

Signature Date

Print Name and Title

Phone

Please sign and date this form and return it to

the Department with your registration fee of

$1,000 for new registrations and any

accompanying documents. The check or

money order should be payable to the Director

of Insurance.

(Source: Repealed at 42 Ill. Reg. ______, effective ____________)


18



Section 2051.APPENDIX B Discounted Health Care Services Plan Only Registration

(Repealed)

Name of Firm

Tax # (FEIN)





Fee Required With

Application

50 Ill. Adm. Code

2051.250



with application for

Preferred Program Provider

Administrator.

ADMINISTRATOR

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.260 COMMENTS

REFERENCE

Please type or

print where

the

information is

located.


2051.260(c)



with any entity with which

the applicant contracts to

provide services for or meet

the requirements of this Act.










18



administrators, insurers,

health maintenance

organizations and health

service corporations.

ORGANIZATIONAL

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.270 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


2051.270(a)









2051.270(b)


Illinois Secretary of State

and the company's FEIN.


2051.270(c)

Appendix E



and biographical affidavits

of the persons responsible

for the conduct of the affairs

of the administrator (as



Affidavit Form).

Office Location and

Hours

50 Ill. Adm. Code

2051.270(d)

Location of the







then the name and address of

the Agent for Service of


18



Process filed with the

Illinois Secretary of State.

HEALTH CARE

PROVIDER

PREFERRED

PROGRAM

PROVIDER

AGREEMENTS

Each applicant for




when applicable.

Agreements at a


the following

provisions.

REFERENCE

50 Ill. Adm. Code

2051.290 COMMENTS

REFERENCE

Please type or

print where the

information is

located.

Covered



50 Ill. Adm. Code

2051.290(a)






discount services,

copayments, benefit



discount amount or





Responsibilities

50 Ill. Adm. Code

2051.290(b)





the administrator including,

but not limited to

credentialing and

recredentialing requirements.


18



Provider Licensure

Requirements

50 Ill. Adm. Code

2051.290(d)







status.

Provider Contract

Termination

50 Ill. Adm. Code

2051.290(f)







administrator may terminate

the provider contract for

cause immediately; and (3)

That the provider acting as




administrator with a list of all

patients using that provider

as a gatekeeper within 5

working days after the date

that the provider either gives

or receives notice of

termination.


Under the Contract

50 Ill. Adm. Code

2051.290(h)











any assignment or



18





bought by another













Liability and

Malpractice Coverage

50 Ill. Adm. Code

2051.290(i)








satisfactory to the

administrator. The



ten days after the preferred

provider's receipt of notice of

any reduction or cancellation

of such coverage.


2051.290(j)










18





Requirement for

Provider Collection of

Out-of-Pocket Amounts

from Beneficiary

50 Ill. Adm. Code

2051.290(k)





coinsurance and/or

deductibles from



services contract and to

provide notice to

beneficiaries of their

personal financial obligations

for non-covered services.

This provision shall include

any amount of applicable

discounts or, alternatively, a

fee schedule that reflects any

discounted rates. For

DHCSPs only, a provision

that providers may not

charge beneficiaries more

than any applicable

discounted rates in





beneficiary.


2051.290(l)



health services on a 24 hour

per day, 7 day per week

basis.


2051.290(m)

A provision clearly


and payor's payment

obligations to the provider.


18



For DHCSPs, neither

administrators nor payors

may pay providers for health

care services provided to

beneficiaries. For DHCSPs,

neither administrators nor

payors may accept money

from a beneficiary for

payment to a provider for

specific health care services

furnished or to be furnished

to the beneficiary.


2051.290(n)








provider as well as other


to the provider.


2051.290(p)







provider.

ADMINISTRATOR

AGREEMENTS

Each applicant for



administrative

agreements, when


at a minimum shall

REFERENCE

50 Ill. Adm. Code

2051.300 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


18




provisions.


2051.300(a)






State as provided by 215

ILCS 5/370i(b)(2), an







Code.

Terms for the


Under the Contract

50 Ill. Adm. Code

2051.300(b)





delegated must have the

terms of that transaction

affecting the provision of

health care services by

providers, including any

additional discount, repricing

or other consideration,

clearly described in the

contract. The administrator

or payor accessing the

provider network shall be







fee schedules. An



18





current payors and






Administrator

Marketing

Responsibility

50 Ill. Adm. Code

2051.300(c)





brochures and identification

cards used by any other

administrator to market,

promote, sell or enroll

members in its preferred

provider program.


Under the Contract

50 Ill. Adm. Code

2051.300(d)





another administrator without

the prior written consent of

the providers contracting

under the program. A clause

within the provider contract

allowing assignment will be

deemed consent so long as

the assignment is in








HEALTH CARE REFERENCE COMMENTS REFERENCE


18



PREFERRED

PROVIDER

PROGRAM

NETWORK

AVAILABILITY

AND ACCESS

Each applicant for


the following

information and

documents with the

Director.

50 Ill. Adm. Code

2051.310

Please type or

print where the

information is

located.


2051.310(a)(1)




program.

Geographic Map with

Providers Marked

50 Ill Adm. Code

2051.310(a)(2)






providers.

List of Providers

Names, Addresses and

Specialties

50 Ill. Adm. Code

2051.310(a)(3)


Beneficiaries

50 Ill.Adm. Code

2051.310(a)(4)

Members enrolled only in the

State of Illinois.


Number Requirements

50 Ill. Adm. Code

2051.310(a)(5)










to conform to this Part. A

plan shall identify specific

providers in a beneficiary's


18









working days. The up-to-date

provider list applies to all

providers that have entered

arrangements to provide

services under the program

either directly, or indirectly

through another

administrator.

Administrators' Internet

website addresses shall be

prominently displayed on all



cards and identification

cards.

Description of

Accessibility and


50 Ill. Adm. Code

2051.310(a)(6)


Provided

50 Ill. Adm. Code

2051.310(a)(6)(A)


services to be provided by

the administrator network.


Beneficiaries

50 Ill. Adm. Code

2051.310(a)(6)(B)








currently enrolled population.

Greatest Travel

Distance

50 Ill. Adm. Code

2051.310(a)(6)(C)




provider hospital services,


18







services, where applicable



providers.


Network to New

Providers

50 Ill. Adm. Code

2051.310(a)(6)(D)

Policies for Adding

New Providers

50 Ill. Adm. Code

2051.310(a)(6)(E)


Needs

50 Ill. Adm. Code

2051.310(a)(6)(L)





cultural and ethnic


physical and mental

disabilities.


2051.310(a)(6)(M)







Prescription Drug


ILCS 138] when




services.

DISCOUNTED

HEALTH CARE

SERVICES PLAN

AGREEMENTS

REFERENCE 50 Ill. Adm. Code

2051.320

COMMENTS

Only those administrators

that also provide DHCSP

benefits must comply with

REFERENCE

Please type or

print where the


18



Each applicant for



DHCSP agreements,

when applicable.

Agreements at a


the following

provisions.

the requirements of Section

2051.320.

information is

located.

Written Agreement

Required

50 Ill. Adm. Code

2051.320(a)

A DHCSP administrator

shall have a written

agreement between the

administrator and its

beneficiaries that specifies

the benefits a beneficiary is

to receive under the DHCSP.


2051.320(b)(1)



cancel at any time. If a

beneficiary cancels within 30

days after the date of receipt

of the identification card and

other membership materials,

the beneficiary will be



Section 2051.320(b)(1).

No Restrictions on

Access to Providers

50 Ill. Adm. Code

2051.320(b)(2)




without restrictions to

waiting periods, notification

periods, etc. (except for

hospital discounts).


2051.320(b)(3)







18




agreement.

Electronic Fund

Transfer Limitation

50 Ill. Adm. Code

2051.320(b)(3)

DHCSP administrators may

not continue using electronic

fund transfers after receiving

a beneficiary's written

request to terminate

electronic fund transfers as a

method of payment.


2051.320(b)(4)






The procedures must contain,

at a minimum, a statement

that the DHCSP shall

provide specific contact

information for the



2051.320(d)

DHCSP administrators must

provide the following

disclosures in writing to any

prospective beneficiary of a

DHCSP before purchase as

well as in all beneficiary

agreements. If the initial

contact with the prospective

beneficiary is by telephone,

the disclosure shall be made

orally and included in the

written agreement required

by Section 2051.320(a). The

disclosures shall also be

provided on the first page of

any advertisements,

marketing materials or

brochures relating to a

DHCSP or if that is not


18



possible, on the first page

listing plan information.


2051.320(d)(1)

Providers and Services 50 Ill. Adm. Code

2051.320(d)(2)

The Plan Does Not

Make Payments to

Providers

50 Ill. Adm. Code

2051.320(d)(3)

Beneficiary Must Pay

for All Discounted

Services

50 Ill. Adm. Code

2051.320(d)(4)





discount from those

providers that have

contracted with the DHCSP

administrator.

Toll-Free Number and

Website Access

50 Ill. Adm. Code

2051.320(d)(5)

The DHCSP administrator's

toll-free telephone number

and Internet website page

where beneficiaries and

prospective beneficiaries

may obtain additional

information about the

DHCSP and lists of


DHCSP.

Itemized Discounted


Plan Costs

50 Ill. Adm. Code

2051.320(e)



product that can be

purchased separately

including a policy of

insurance, the administrator

or DHCSP administrator

must provide in writing to

the beneficiary the charges

for the DHCSP product.


2051.320(f)




18




may not exceed $30.


Marketers

50 Ill. Adm. Code

2051.320(g)


shall annually file with the







administrator's DHCSP

under a name other than that

of the administrator. A

DHCSP administrator shall

inform the Department of

any additional private label

marketers with whom it

contracts and of any







contain: (1) the name,

address and FEIN of the

private label marketers; (2)

any DBA used by the private

label marketer; and (3) all

product names used by the

private label marketer.

Administrator



50 Ill. Adm. Code

2051.320(h)


shall ensure that any private

label marketer who it

identifies under subsection

(g) or with whom it has an

obligation to identify under

subsection (g): (1)



18



all descriptions of benefits

and member materials the

name of any administrator

and DHCSP administrator

whose DHCSP is being

provided; (2) prominently

discloses within all

marketing materials the name

of any DHCSP administrator



discloses the private label

marketer's product name and

the name or name and logo

of available networks on the

member's identification card;

and (4) complies with the

applicable DHCSP

administrator provisions of

this Part.


Not Identified

50 Ill. Adm. Code

2051.320(i)







Listings

50 Ill. Adm. Code

2051.320(j)




specific provider

participation or provide a

listing of participating

providers by mail.

Participating provider lists

requested by phone must be

sent within 3 working days.

Any provider listing must

include all participating




18





administrator.

FIDUCIARY AND

BONDING

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.340 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


2051.340(c)(2)


posted, it shall be held by the

Director of Insurance in favor

of the beneficiaries and

payors of services under the


operated by the administrator.

Declaration:



Signature Date

Print Name and Title Phone






of Insurance.



18



Section 2051.APPENDIX C Insurer Filing Requirements (Repealed)

Name of Firm

Tax # (FEIN)



Person Responsible for submitting

application:

Phone

HEALTH CARE

PREFERRED

PROVIDER

PROGRAM

PAYOR

AGREEMENTS

Each insurer shall file




at a minimum shall


provisions.

REFERENCE

50 Ill. Adm. Code

2051.280 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


2051.280(a)

Terms requiring and

specifying all incentives to

be provided to the

beneficiary to utilize services

of a preferred provider.

Out-of-Network

Referrals

50 Ill. Adm. Code

2051.280(b)




medically necessary to refer

a beneficiary to a non-

preferred provider, the payor

shall ensure that the

beneficiary so referred shall

incur no greater out of pocket

liability than had the


18



beneficiary received services

from a preferred provider.

Subsection (b) does not apply

to a beneficiary who willfully






providers. In these

circumstances, the




Not applicable to

administrators offering only

a DHCSP.

Identification Card

References

50 Ill. Adm. Code

2051.280(c)

Terms requiring that both the

payor's and, if applicable, the

administrator's name and

toll-free telephone numbers

be contained on the

beneficiaries' identification

card.

Prohibition on

Administrator Assuming

Risk

50 Ill. Adm. Code

2051.280(d)

Terms specifying that only

the payor may assume any

underwriting risk when that

risk is part of the delivery of

services.

HEALTH CARE

PREFERRED

PROVIDER

PROGRAM

PROVIDER

AGREEMENTS Each insurer shall file



REFERENCE

50 Ill. Adm. Code

2051.290 COMMENTS


print where the

information is

located.


18



when applicable.

Agreements at a


the following

provisions.

Covered



50 Ill. Adm. Code

2051.290(a)






discount services,

copayments, benefit



discount amount or





Responsibilities

50 Ill. Adm. Code

2051.290(b)





the insurer including, but not

limited to credentialing or

recredentialing requirements,

utilization review

requirements, and referral

procedures.


Records

50 Ill. Adm. Code

2051.290(c)

A provision requiring that

when payments are due to

the provider for services



make medical records

available to the administrator

and/or the insurer for the

purpose of determining, on a

concurrent or retrospective

basis, the medical necessity


18



and appropriateness of care

provided to beneficiaries.

Such medical records must

also be made available to

appropriate State and federal

authorities and their agents

involved in assessing the

accessibility and availability

of care or investigating

member grievances or

complaints and to comply

with the applicable State and

federal laws related to

privacy and confidentiality

of medical records.

Provider Licensure

Requirements

50 Ill. Adm. Code

2051.290(d)




insurer immediately

whenever there is a change

in licensure or certification

status.

Hospital Admitting

Privileges

50 Ill. Adm. Code

2051.290(e)






hospital with which the

insurer has a written

provider contract. The

insurer shall be notified

immediately of any changes

in privileges at any hospital

or admitting facility.

Reasonable exceptions shall

be made for physicians who,

because of the type of

clinical specialty, or location

or type of practice, do not


18



customarily have admitting

privileges.

Provider Contract

Termination

50 Ill. Adm. Code

2051.290(f)







insurer may terminate the

provider contract for cause

immediately; and (3) That

the provider acting as




administrator with a list of

all patients using that

provider as a gatekeeper

within 5 working days after

the date that the provider

either gives or receives

notice of termination.


2051.290(g)








regulation, or that such


provided by the insurer.


Under the Contract

50 Ill. Adm. Code

2051.290(h)









18






any assignment or




bought by another













Liability and


50 Ill. Adm. Code

2051.290(i)








satisfactory to the insurer.

The insurer must be notified

within no less than ten days

of the preferred provider's

receipt of notice of any

reduction or cancellation of

such coverage.


2051.290(j)







18








Requirement for

Provider Collection of

Out-of-Pocket Amounts

from Beneficiary

50 Ill. Adm. Code

2051.290(k)





coinsurance and/or

deductibles from



services contract, and to

provide notice to

beneficiaries of their

personal financial

obligations for non-covered

services. This provision shall

include any amount of

applicable discounts or,

alternatively, a fee schedule

that reflects any discounted

rates. For DHCSPs only, a

provision that providers may

not charge beneficiaries

more than any applicable

discounted rates in





beneficiary.


2051.290(l)


obligation to provide

covered health services on a

24 hour per day, 7 day per

week basis.


18




2051.290(m)

A provision clearly

describing the insurer's

payment obligations to the

provider. For DHCSPs,

payors may not pay

providers for health care

services provided to

beneficiaries. Payors may

not accept money from a

beneficiary for payment to a

provider for specific health

care services furnished or to

be furnished to the

beneficiary.


2051.290(n)



any, the insurer will perform

and the types of information

(financial, enrollment and

utilization) that will be

submitted to the provider as

well as other information

that is accessible to the

provider.

Payor Access 50 Ill. Adm. Code

2051.290(o)

A provision obligating the

insurer to provide a method

for providers to obtain initial

information and adequate

notice of change in benefits

and copayments, and a

provision obligating the

insurer to provide all of the

insurer's operational policies.


2051.290(p)





or disagreements between


18



the insurer and preferred

provider.

ADMINISTRATOR

AGREEMENTS Each insurer shall file


administrative

agreements, when


at a minimum shall


provisions.

REFERENCE

50 Ill. Adm. Code

2051.300 COMMENTS


print where the

information is

located.


2051.300(a)


contract with an administrator

to administer programs,

policies or subscriber

contracts in this State as

provided by 215 ILCS

5/370i(b)(2), an administrator

shall perform due diligence to

ensure the other entity is

properly registered under this

Part or otherwise

appropriately licensed under

the Insurance Code.

Terms for the


Under the Contract

50 Ill. Adm. Code

2051.300(b)





delegated must have the terms

of that transaction affecting

the provision of health care

services by providers,

including any additional

discount, repricing, or other


described in the contract. The

administrator or payor


18




network shall be contractually

obligated to comply with all

applicable terms, limitations

and conditions of the provider



fee schedules. An




current payors, administrators

to which the provider contract

or program has been sold,

leased, assigned, assumed or


Administrator

Marketing

Responsibility

50 Ill. Adm. Code

2051.300(c)

An insurer shall approve in

writing prior to use all


materials, brochures and

identification cards used by

any administrator or other

insurer to market, promote,

sell or enroll members in its

preferred provider program.


Under the Contract

50 Ill. Adm. Code

2051.300(d)




otherwise delegated to an

administrator without the

prior written consent of the

providers contracting under

the program. A clause within

the provider contract allowing

assignment will be deemed

consent so long as the

assignment is in accordance

with the terms of the contract.

The assignee must comply


18



with all the terms and

conditions of the contract

being assigned, including all

appendices, policies and fee

schedules.

HEALTH CARE

PREFERRED

PROVIDER

PROGRAM

NETWORK

AVAILABILITY AND

ACCESS Each insurer shall file the

following information and

documents with the

Director.

REFERENCE

50 Ill. Adm. Code

2051.310 COMMENTS


print where the

information is

located.


2051.310(a)(1)




program.

Geographic Map with

Providers Marked

50 Ill. Adm. Code

2051.310(a)(2)






providers.

List of Providers


Specialties

50 Ill. Adm. Code

2051.310(a)(3)


Beneficiaries

50 Ill. Adm. Code

2051.310(a)(4)

Members enrolled in the

State of Illinois.


Number Requirements

50 Ill. Adm. Code

2051.310(a)(5)









18





to conform to this Part. The

insurer shall identify specific

providers in the beneficiary's







working days. The up-to-

date provider list applies to

all providers that have

entered arrangements to

provide services under the

program, either directly or

indirectly, through an

administrator. Insurers'

Internet website addresses

shall be prominently

displayed on all



cards and identification

cards.

Description of

Accessibility and


50 Ill. Adm. Code

2051.310(a)(6)


Provided

50 Ill. Adm. Code

2051.310(a)(6)(A)



the insurer's network.


Beneficiaries

50 Ill. Adm. Code

2051.310(a)(6)(B)









18



currently enrolled

population.

Greatest Travel

Distance

50 Ill. Adm. Code

2051.310(a)(6)(C)




provider hospital services





services where applicable



providers.


Network to New

Providers

50 Ill. Adm. Code

2051.310(a)(6)(D)

Policies for Adding

New Providers

50 Ill.Adm. Code

2051.310(a)(6)(E)

24/7 Network Access 50 Ill. Adm. Code

2051.310(a)(6)(F)

The provision of 24 hour,

seven day per week access to

network affiliated primary

care and woman's principal

health care providers.


2051.310(a)(6)(G)


referrals within and outside

the network.

Inadequate Networks 50 Ill. Adm. Code

2051.310(a)(6)(H)

In any case whereby a

beneficiary has made a good

faith effort to utilize

preferred providers for a

covered service and it is

determined the insurer does

not have the appropriate


insufficient number, type or

distance, the insurer shall

ensure, directly or indirectly,

by terms contained in the


18



payor contract, that the






provider. Subsection

(a)(6)(H) does not apply to a

beneficiary who willfully






providers. In these

circumstances, the




Not applicable to

administrators offering only

a DHCSP.

Lack of Specialty

Providers

50 Ill. Adm. Code

2051.310(a)(6)(I)

The procedures for paying

benefits when particular

physician specialties are not

represented within the

provider network, or the

services of such providers are

not available at the time care

is sought. In any case where

a beneficiary has made a

good faith effort to utilize

network providers, by

satisfying contractual

obligation as specified in the

benefit contract or certificate,

for a covered service and the

insurer does not have the

appropriate preferred


18



specialty providers

(including but not limited to

radiologists,

anesthesiologists,

pathologists and emergency

room physicians) under

contract due to the inability

of the insurer to contract with

such specialists, the insurer







provider.


Needs

50 Ill. Adm. Code

2051.310(a)(6)(L)





cultural and ethnic


physical and mental

disabilities.


2051.310(a)(6)(M)







Prescription Drug


ILCS 138] when




services.

Gatekeeper 50 Ill. Adm. Code

2051.310(a)(6)(N)

When a gatekeeper option is

included as part of the


18



program, insurers shall make

a good faith effort to provide

written notice of termination

of a provider to all

beneficiaries who are

patients seen on a regular

basis by a provider whose

contract is terminating.

Where a contract termination

involves a primary care

physician, in a gatekeeper

option, all beneficiaries who

are patients of that primary

care physician shall also be

notified.


2051.310(c)

Enrollees are not responsible

for any reasonable costs

associated with medical

record transmission or

duplication in order to have a

claim adjudicated.

DISCOUNTED

HEALTH CARE

SERVICES PLAN

AGREEMENTS (IF

APPLICABLE)



DHCSP agreements,

when applicable.

Agreements at a



REFERENCE

50 Ill. Adm. Code

2051.320

COMMENTS

Only insurers that also

provide DHCSP benefits

must comply with the


2051.320.

REFERENCE

Please type or

print where the

information is

located.

Written Agreement

Required

50 Ill. Adm. Code

2051.320(a)

An insurer shall have a

written agreement with its

beneficiaries that specifies

the benefits a beneficiary is


18



to receive under the DHCSP,

if any.


2051.320(b)(1)



cancel the discount benefits

at any time. If a beneficiary

cancels within 30 days after

the date of receipt of the

identification card and other

membership materials, the

beneficiary will be



Section 2051.320(f).

No Restrictions on

Access to Providers

50 Ill. Adm. Code

2051.320(b)(2)




without restrictions to

waiting periods, notification

periods, etc. (except for

hospital discounts).


2051.320(b)(3)







agreement.

Electronic Fund

Transfer Limitation

50 Ill. Adm. Code

2051.320(b)(3)

Insurers offering a DHCSP

may not continue using

electronic fund transfers after

receiving a beneficiary's

written request to terminate

electronic fund transfers as a

method of payment.


2051.320(b)(4)






18




These procedures must

contain, at minimum, a

statement that the DHCSP

shall provide specific contact

information for the



2051.320(d)

Insurers must provide the

following disclosures as part

of a policy of insurance, these

disclosures must be included

in the policy and certificate

of coverage and must be

specifically identified with

and applicable to the DHCSP

portion of the policy.


2051.320(d)(1)

Limitation on Providers

and Services

50 Ill. Adm. Code

2051.320(d)(2)

The Plan Does Not

Make Payments to

Providers

50 Ill. Adm. Code

2051.320(d)(3)

Beneficiary Must Pay

for All Discounted

Services

50 Ill. Adm. Code

2051.320(d)(4)





discount from those providers

that have contracted with the

insurer to provide health care

service discounts.

Toll-Free Telephone

Number and Website

Access

50 Ill. Adm. Code

2051.320(d)(5)

The insurer's toll-free

telephone number and

Internet website page where


beneficiaries may obtain


the DHCSP and lists of


18




DHCSP.

Itemized Discounted


Plan Costs

50 Ill. Adm. Code

2051.320(e)



product that can be purchased

separately, including a policy

of insurance, the insurer must

provide in writing to the

beneficiary the charges for

the DHCSP product.


2051.320(f)




may not exceed $30.


Marketers

50 Ill. Adm. Code

2051.320(g)


annually file with the







administrator's DHCSP under

a name other than that of the

administrator. A DHCSP

administrator shall inform the

Department of any additional


whom it contracts and of any







contain: (1) the name,

address and FEIN of the

private label marketers; (2)

any DBA used by the private


18



label marketer; and (3) all

product names used by the

private label marketer.

Administrator



50 Ill. Adm. Code

2051.320(h)


ensure that any private label

marketer who it identifies

under subsection (g) or with

whom it has an obligation to

identify under subsection (g):

(1) prominently discloses

within all descriptions of

benefits and member

materials the name of any




all marketing materials the

name of any administrator



discloses the private label

marketer's product name and

the name or name and logo of

available networks on the

member's identification card;

and (4) complies with the

applicable DHCSP

administrator provisions of

this Part.


Not Identified

50 Ill. Adm. Code

2051.320(i)







Listings

50 Ill. Adm. Code

2051.320(j)




specific provider



18



listing of participating

providers by mail.

Participating provider lists

requested by phone must be

sent within 3 working days.

Any provider listing must

include all participating





administrator.

INSURER

REQUIREMENTS



DHCSP agreements,

when applicable.

Agreements at a



REFERENCE

50 Ill. Adm. Code

2051.330 COMMENTS

REFERENCE

Identify the

previous filing

information in

the space below.

Waiver of filing

requirements

50 Ill. Adm. Code

2051.330(b)

When incorporated in a

policy filing, the filing

requirements for Section

2051.330(a) may be waived if

the preferred provider

arrangement information had

previously been filed and is

identified in the subsequent

filing.

Declaration:




18



Signature Date

Print Name and Title Phone




accompanying documents. The check or money

order should be payable to the Director of

Insurance.



18



Section 2051.APPENDIX D Workers' Compensation Preferred Provider Program

Administrator Registration Form (Repealed)

Name of Firm Tax # (FEIN)





Fee Required With

Application

50 Ill. Adm. Code

2051.250



with application for preferred

program provider

administrator.

ADMINISTRATOR

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.260 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


2051.260(c)



with any entity with which

the applicant contracts to

provide services for or meet

the requirements of the Act.









administrators, risk bearing


18



entities, and employers or

employer groups for the

purposes of WC PPPs.

Economic Evaluation 50 Ill. Adm. Code

2051.260(c)(7)

WC PPP administrators that

utilize economic evaluation

of their providers shall file a

description of any policies

and procedures related to the

economic evaluation utilized

by the program.

Employee Notification 50 Ill. Adm. Code

2051.260(c)(8)

WC PPP administrators shall

provide those policies and

procedures instituted to

insure the employer is

providing proper notification

to the covered employee in

accordance with the form

promulgated by the Workers'

Compensation Commission.

ORGANIZATIONAL

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.270 COMMENTS

REFERENCE

Please type or

print where the

information is

located


2051.270(a)









2051.270(b)


Illinois Secretary of State

and the company's FEIN.


2051.270(c)

Appendix E



and biographical affidavits

of the persons responsible


18



for the conduct of the affairs

of the administrator (as



Affidavit Form).

Office Location and

Hours

50 Ill. Adm. Code

2051.270(d)

Location of the







then the name and address

of the agent for service of

process filed with the

Illinois Secretary of State.

WORKERS'

COMPENSATION

PREFERRED

PROVIDER

PROGRAM PAYOR

AGREEMENTS

Each applicant for





at a minimum shall


provisions.

REFERENCE

50 Ill. Adm. Code

2051.285 COMMENTS


print where the

information is

located.


2051.285(a)

Terms requiring and

specifying all incentives to

be provided to the insured to

utilize services of a provider

that has entered into an

agreement with the

administrator.


18



Out-of-Network

Referrals – Beneficiary

50 Ill. Adm. Code

2051.285(b)






preferred provider, the payor


beneficiary so referred shall

incur no greater liability than

had the beneficiary received

services from a preferred

provider, except as provided

pursuant to Section

8.1a(c)(2) and Section 8.2(e)

of the Workers'

Compensation Act.

Out of Network

Referrals – Payor

50 Ill. Adm. Code

2051.285(c)






preferred provider because

the PPP does not contain a

provider who can provide the

approved treatment, and if

the beneficiary has complied

with any reasonable pre-

authorization requirements

consistent with Section 8.1a

of the Workers'

Compensation Act, the WC

PPP shall ensure that the

covered employee will be

provided the covered

services by the non-preferred

provider in accordance with

the fees at not greater cost to

the payor than if the services

had been provided by a


18



preferred provider. In these

instances, the administrator

shall be responsible for the

payment of any additional

amounts otherwise due to the

non-preferred provider.

WORKERS'

COMPENSATION

PREFERRED

PROVIDER

PROGRAM

PROVIDER

AGREEMENTS

Each applicant for




when applicable.

Agreements at a


the following

provisions.

REFERENCE

50 Ill. Adm. Code

2051.295 COMMENTS


print where the

information is

located.

Compliance with

Workers' Compensation

Act

50 Ill. Adm. Code

2051.295(a)

A provision stating, within

the preamble, that the

agreement conforms to the

requirements of Section 8.1a

of the Workers'

Compensation Act [820

ILCS 305/8.1a].

Covered



50 Ill. Adm. Code

2051.295(b)





responsible, including any

discount services, limitations

and exclusions, as well as

any discount amount or


18




reflecting discounted rates.


Responsibilities

50 Ill. Adm. Code

2051.295(c)





the Administrator, including,

but not limited to,

credentialing,

recredentialing, utilization

review requirements and

referral procedures.


Records

50 Ill. Adm. Code

2051.295(d)

A provision requiring that,

when payments are due to

the provider for services



make the beneficiary's

medical records available to

the administrator and/or

payor for the purpose of

determining, on a concurrent

or retrospective basis, the

compensability, medical

necessity and appropriateness

of care provided to

beneficiaries. The medical

records must also be made

available to appropriate State

and federal authorities and

their agents involved in

assessing the accessibility

and availability of care or

investigating member

grievances or complaints and

to comply with the applicable

State and federal laws related

to privacy and confidentiality

of medical records.


18



Provider Licensure

Requirements

50 Ill. Adm. Code

2051.295(e)



the state and to notify the




status.

Hospital Admitting

Privileges

50 Ill. Adm. Code

2051.295(f)






hospital. The administrator

shall be notified immediately

of any changes in privileges

at any hospital or admitting

facility. Reasonable

exceptions shall be made for

physicians who, because of

the type of clinical specialty,

or location or type of

practice, do not customarily

have admitting privileges.

Provider Contract

Termination

50 Ill. Adm. Code

2051.295(g)






without cause; and (2) That

the administrator may

terminate the provider

contract for cause

immediately.


2051.295(h)








18




regulation, or that the


provided by the

administrator.


Under the Contract

50 Ill. Adm. Code

2051.295(i)











any assignment or




bought by another













Liability and


50 Ill. Adm. Code

2051.295(j)









18



satisfactory to the

administrator. The



ten days after the preferred

provider's receipt of notice of

any reduction or cancellation

of the coverage.


2051.295(k)






participation in the PPP,

source of payment, age, sex,

ethnicity, religion, sexual

preference, health status or

disability.

Requirement for

Provider Notification of

Beneficiaries Personal

Financial Obligations

for Non-Covered

Services

50 Ill. Adm. Code

2051.295(l)



obligation to provide notice

to beneficiaries of their

personal financial obligations

for non-covered services.

Services Determined

Not Compensable under


Act

50 Ill. Adm. Code

2051.295(m)

A provision that providers

may charge covered

employees for those services

determined to be not

compensable under the

Workers' Compensation Act.


2051.295(n)



health care services on a 24

hour per day, 7 day per week

basis.


2051.295(o)

A provision clearly


and payor's payment

obligations to the provider,


18



including but not limited to

the payment of statutory

interest on late payments as

required in Section 8.2(d)(3)

of the Workers'

Compensation Act.


2051.295(p)








provider, as well as other


to the provider.

Administrator

Responsibilities

50 Ill. Adm. Code

2051.295(q)

A provision obligating the

administrator to provide a

method for providers to

access each payor to obtain

benefit information and a

provision obligating the

administrator to provide all

of the administrator's

operational policies.


2051.295(r)







provider.

ADMINISTRATOR

AGREEMENTS

Each applicant for



administrative

REFERENCE

50 Ill. Adm. Code

2051.300 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


18



agreements, when


at a minimum shall


provisions.


2051.300(a)






State, as provided by 215

ILCS 5/370i(b)(2), an







Code.

Terms for the


Under the Contract

50 Ill. Adm. Code

2051.300(b)


PPP that is sold, leased,


otherwise delegated must

have the terms of that

transaction affecting the

provision of health care

services by providers,

including any additional

discount, repricing, or other


described in the contract.

The administrator or payor


network shall be







18




fee schedules. An



written or electronic list of

all current payors and






Administrator

Marketing

Responsibility

50 Ill. Adm. Code

2051.300(c)





brochures and, if applicable,

identification cards used by

any other administrator to

market, promote, sell or

enroll members in its PPP.


Under the Contract

50 Ill. Adm. Code

2051.300(d)





another administrator


consent of the providers

contracting under the

program. A clause within the

provider contract allowing


consent so long as the

assignment is in accordance

with the terms of the

contract. The assignee must

comply with all the terms

and conditions of the



18





WORKERS'

COMPENSATION

NETWORK

AVAILABILITY

AND ACCESS

Each applicant for


the following

information and

documents with the

Director.

REFERENCE

50 Ill. Adm. Code

2051.315 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


2051.315(a)(1)

Provide the Department

with information relating

to the method of marketing

the program.

Geographic Map with

Providers Marked

50 Ill. Adm. Code

2051.315(a)(2)

A geographic map of the

area proposed to be served

by the program by county

and zip code, including

marked locations of

preferred providers.

List of Providers


Specialties

50 Ill. Adm. Code

2051.315(a)(3)

Number of Estimated

Beneficiaries

50 Ill. Adm. Code

2051.315(a)(4)

Covered employees in the

State of Illinois.


Number Requirements

50 Ill. Adm. Code

2051.315(a)(5)

An Internet website and

toll-free telephone number

for insureds, beneficiaries

and prospective


regarding up-to-date lists

of preferred providers, as

well as any other

information necessary to

conform to this Part. A


18



WC PPP shall identify



specific provider


listing of preferred

providers in the delivery

mode requested by the

beneficiary. Preferred


phone must be sent within

3 working days. The up-

to-date provider list

applies to all providers that

have entered arrangements

to provide services under

the program either directly

or indirectly through

another administrator.

Administrators', WC PPP

administrators' and

insurers' Internet website

addresses shall be

prominently displayed on

all advertisements,

marketing materials and

brochures.

Description of

Accessibility and


50 Ill. Adm. Code

2051.315(a)(6)


Provided

50 Ill. Adm. Code

2051.315(a)(6)(A)



the administrator network.


Beneficiaries

50 Ill. Adm. Code

2051.315(a)(6)(B)



including primary treating

physicians, when

applicable under the

contract, necessary to meet


18



the health care needs and

service demands of the

estimated covered

employees.


Network to New

Providers

50 Ill. Adm. Code

2051.315(a)(6)(C)

Policies for Adding

New Providers

50 Ill. Adm. Code

2051.315(a)(6)(D)


2051.315(a)(6)(E)


referrals within and

outside the network.


Needs

50 Ill. Adm. Code

2051.315(a)(6)(F)

Efforts to address the

needs of beneficiaries with

limited English

proficiency and illiteracy,

with diverse cultural and

ethnic backgrounds and to

comply with the

Americans With

Disabilities Act of 1990.

Utilization of Another

Administrator's or

Insurer's PPP

50 Ill. Adm. Code

2051.315(a)(7)

If a WC PPP administrator

is leasing, buying or

otherwise using another

administrator's or insurer's

program, and the required

information has previously

been filed by the other

administrator or insurer,

then only the

administrative agreement

and verification that the

providers have consented

to the agreement pursuant

to Section 2051.300(d)

need to be filed. A clause

within the provider

contract allowing



18



consent in the absence of

material modification of

the provider's obligations

under the contract.


2051.315(a)(8)

Covered employees are

not responsible for any

costs associated with

medical record

transmission or duplication

in order to have a claim

adjudicated.

Description of

Reasonably Accessible

and Available

50 Ill. Adm. Code

2051.315(b)(1)(A)

A description of how

health care services to be

rendered under the

preferred provider

program are reasonably

accessible and available to

beneficiaries.

Good Faith Effort –

Payor

50 Ill. Adm. Code

2051.315(b)(1)(B)

A provision ensuring that,

whenever a covered

employee has made a good

faith effort to utilize

network providers for a

covered service and it is

determined the

administrator does not



insufficient number, type

or distance, the

administrator shall ensure,

directly or indirectly, by

terms contained in the




services established by the


Fee Schedule. This


18



subsection (b)(1)(B) does

not apply to a covered

employee who violates

Section 8.1a(c) and (d) of

the Workers'

Compensation Act for

health care services

available through the

administrator's panel of

participating providers. In


requirement of Section 8.2

of the Workers'



reimbursements will

apply. Subsection

(b)(1)(B) does not apply to

SPPP administrators.

Good Faith Effort –

Beneficiary

50 Ill. Adm. Code

2051.315(b)(1)(C)

Policies and procedures

ensuring, directly or

indirectly, that, whenever

a covered employee has

made a good faith effort to

utilize network providers

for a covered service and it

is determined the

administrator does not



insufficient number, type

or distance, the

administrator shall ensure,

directly or indirectly, by

terms contained in the




services as if they had


18



been provided by a

preferred provider, without

any loss of provider choice

under Section 8 or 8.1a(c)

of the Workers'

Compensation Act.

Subsection (b)(1)(C) does

not apply to a covered

employee who violates

Section 8.1a(c) and (d) of

the Workers'


health care services

available through the

administrator's plan of

preferred providers. In



8.2 of the Workers'



reimbursements will

apply. Subsection

(b)(1)(C) does not apply to

SPPP administrators.

Geographic Maps –

Primary Treating

Physician and Hospital


for Emergency Health

Care Services

50 Ill. Adm. Code

2051.315(b)(1)(D)

Geographic maps

indicating primary treating

physician and hospital

health care services for

emergency health care

services within 30 minutes

or 15 miles of each

covered employee's

residence.

Geographic Maps 50 Ill. Adm. Code

2051.315(b)(1)(E)

Geographic maps

indicating providers of

occupational health

services and specialists

within 60 minutes or 30


18



miles of a covered

employee's residence.

Rural Areas Service

Area Alternative

Standard

50 Ill. Adm. Code

2051.315(b)(1)(F)

If the WC PPP

administrator believes that,

given the facts and

circumstances with regard

to a portion of its service

area (specifically rural

areas, including those in

which health facilities are

located at least 30 miles

apart), the accessibility

standards set forth in

subsections (b)(1)(D) and

(E) are unreasonably

restrictive, the WC PPP

administrator shall include

proposed alternative

standards in writing in its

application or in a notice

of program modification.

The alternative standards

shall provide that all

services shall be available

and accessible at a

reasonable time to all

covered employees.

Coverage Outside the

WC PPP

50 Ill. Adm. Code

2051.315(b)(1)(G)

Written policy for

arranging or approving

non-emergency medical

care for covered

employees outside the WC

PPP service area.

Accessibility Standards

for Coverage Outside

the WC PPP

50 Ill. Adm. Code

2051.315(b)(1)(G)(ii)

Coverage for covered

employees outside the WC

PPP service area shall be

located within the

accessibility standards


18



described in subsections

(b)(1)(D) and (E).

Appointment Standards

– Initial

50 Ill. Adm. Code

2051.315(b)(1)(H)(i)

Ensure appointments for

initial treatment is

available within 3 business

days after the WC PPP

administrator's receipt of a

request for treatment

within the PPP.

Appointment Standards

– Specialists

50 Ill. Adm. Code

2051.315(b)(1)(H)(ii)

Ensure covered employees

an appointment within 20

business days after the WC

PPP administrator's receipt

of a referral to a specialist

within the PPP.

FIDUCIARY AND

BONDING

REQUIREMENTS

REFERENCE

50 Ill. Adm. Code

2051.340 COMMENTS

REFERENCE

Please type or

print where the

information is

located.


2051.340(c)(2)

Appendix F


posted, it shall be held by the

Director of Insurance in

favor of the beneficiaries and

payors of services under the

PPP operated by the

administrator.

Declaration:




18



Signature Date

Print Name and Title

Phone






of Insurance.



18



Section 2051.APPENDIX E Illinois or NAIC Biographical Affidavit (Repealed)

Full name and address of company (do not use group name)

In connection with the above-named company, I herewith make representations and supply

information about myself as hereinafter set forth. (Attach addendum or separate sheet if space

hereon is insufficient to answer any question fully.) If answer is "No" or "None", so state.

1. Affiant's full name (initials not acceptable)

2a. Have you ever had your name changed? ____ If yes, give the reason for the change

2b. Give other names used at any time

3. Affiant's Social Security 4. Date and place of birth

5. Affiant's business address Business Telephone #

6. List your residences for the last 10 years starting with your current address, giving:

Date Address City and State

7. Education: List dates, names, locations and degrees

College:

Graduate Studies:

Others:

8. List memberships in Professional Societies and Associations

9. Present or proposed positions with the applicant company


18



10. List complete employment record (up to and including present jobs, positions, directorates

or officerships) for the past 20 years, giving:

Dates Employer and Address Title

Please circle one

11. May present employer be contacted? Yes No May former employers be

contacted? Yes No

12a. Have you ever been in a position which required a fidelity bond? ______ If any claims

were made on the bond, give details.

12b. Have you ever been denied an individual or position schedule fidelity bond, or had a

bond cancelled or revoked? If yes, give details.

13. List any professional, occupational, and vocational licenses issued by any public or

governmental licensing agency or regulatory authority which you presently hold or have

held in the past (state date, license issued, issuer of license, date terminated, reasons for

termination.)

14. During the last 10 years, have you ever been refused a professional, occupational or

vocational license by any public or governmental licensing agency or regulatory authority,

or has any such license held by you ever been suspended or revoked? ________ If yes,

give details.

15. List any administrators, insurers or HMOs in which you control directly or indirectly or

own legally or beneficially 10% or more of the outstanding stock (in voting power).

If any of the stock is pledged or hypothecated in any way, give details.

16. Will you or members of your immediate family subscribe to or own, beneficially or of

record, shares of stock of the applicant administrator or its affiliates? _____ If any of the

shares of stock are pledged or hypothecated in any way, give details.


18



17. Have you ever been adjudged bankrupt?

18. Have you ever been convicted or had a sentence imposed or suspended or had

pronouncement of a sentence suspended or been pardoned for conviction of or pleaded

guilty or nolo contendere to any information or an indictment charging any felony or

charging a misdemeanor involving embezzlement, theft, larceny, or mail fraud, or charging

a violation of any corporate securities statute or any insurance law, or have you been the

subject of any disciplinary proceedings of any federal or state regulatory agency? _______

If yes, give details

19. Has any company been so charged, allegedly as a result of any action or conduct on your

part? If yes, give details.

20. Have you ever been an officer, director, trustee, investment committee member, key

employee, or controlling stockholder of any insurer, HMO or administrator which, while

you occupied any such position or capacity with respect to it, became insolvent or was

placed under supervision or in receivership, rehabilitation, liquidation or

conservatorship?

21. Has the certificate of authority or license to do business of any insurance company or

registration of any administrator of which you were an officer or director or key

management person ever been suspended, revoked or denied while you occupied such

position? ______

If yes, give details.

Declaration

Dated and signed this day of at

I hereby certify under penalty of perjury that I am acting on my own behalf and that the

foregoing statements are true and correct to the best of my knowledge and belief.


18



State of

County of

Personally appeared before me the above named

personally known to me who being duly sworn deposes and says that he executed the above

instrument and that the statements and answers contained therein are true and correct to the best

of his knowledge and belief.

Subscribed and sworn to before me this day of 20

(SEAL)

(Notary Public)

My commission expires

Important Notice: Disclosure of this information is required under Illinois Department of

Insurance Rules.

NAIC BIOGRAPHICAL AFFIDAVIT

Applicant Name:

NAIC No:

FEIN:

To the extent permitted by law, this affidavit will be kept confidential by the state insurance

regulatory authority.

(Print or Type)

Full Name, Address and telephone number of the present or proposed entity under which this

biographical statement is being required (Do Not Use Group Names).


18



In connection with the above-named entity, I herewith make representations and supply


hereon is insufficient to answer any question fully.) IF ANSWER IS "NO" OR "NONE", SO

STATE.

1. a. Affiant's Full Name (Initials Not Acceptable).

b. Maiden Name (if applicable).

2.

a.

Have you ever had your name changed? If yes, give the reason for the change and provide

the full names.

b. Other names used at any time (including aliases).

3. a. Are you a citizen of the United States?

b. Are you a citizen of any other country, if so, what country?

4. Affiant's Occupation or Profession.

5. Affiant's business address.

Business telephone.

6. Education and Training:

College/ University City/ State Dates Attended (MM/YY) Degree Obtained

Graduate Studies: College/ University City/ State Dates Attended (MM/YY) Degree Obtained


18



Other Training: Name City/ State Dates Attended (MM/YY) Degree/Certification Obtained

(Note: If affiant attended a foreign school, please provide full address and telephone number of

the college/university. If applicable, provide the foreign student Identification Number in the

space provided in the Biographical Affidavit Supplemental Information.)

7. List of memberships in professional societies and associations.

Name of

Society/Association

Contact Name

Address of

Society/Association

Telephone Number

of

Society/Association

8.

Present or proposed position with the applicant

entity.

9.

List complete employment record for the past 20 years, whether compensated or

otherwise (up to and including present jobs, positions, partnerships, owner of an

entity, administrator, manager, operator, directorates or officerships). Please list the

most recent first. Attach additional pages if the space provided is insufficient. It is

only necessary to provide telephone numbers and supervisory information for the past

10 years.

Beginning/Ending

Dates (MM/YY) - Employer's Name

Address City State/Province

Country Postal Code Phone


18



Offices/Positions Held

Supervisor/Contact

Beginning/Ending





Supervisor/Contact

Beginning/Ending





Supervisor/Contact

Beginning/Ending





Supervisor/Contact

10. a. Have you ever been in a position which required a fidelity bond? __________

If any claims were made on the bond, give

details.


18



b. Have you ever been denied an individual or position schedule fidelity bond, or had a

bond canceled or revoked? __________ If yes, give details.

11. List any professional, occupational and vocational licenses (including licenses to sell

securities) issued by any public or governmental licensing agency or regulatory

authority or licensing authority that you presently hold or have held in the past. For

any non-insurance regulatory issuer, identify and provide the name, address and

telephone number of the licensing authority or regulatory body having jurisdiction

over the licenses issued. Attach additional pages if the space provided is insufficient.

Organization/Issuer of

License

Address City

State/Province Country

Postal Code

License Type License #

Date Issued

(MM/YY)

Date Expired

(MM/YY)

Reason for

Termination

Non-insurance Regulatory Phone Number (if known)

Organization/Issuer of License

Address City


Postal Code

License Type License #

Date Issued

(MM/YY)

Date Expired

(MM/YY)

Reason for

Termination


12. In responding to the following, if the record has been sealed or expunged, and the affiant

has personally verified that the record was sealed or expunged, an affiant may respond

"no" to the question. Have you ever:


18



a. Been refused an occupational, professional, or vocational license or permit by any

regulatory authority, or any public administrative, or governmental licensing

agency?

b. Had any occupational, professional, or vocational license or permit you hold or

have held, been subject to any judicial, administrative, regulatory, or disciplinary

action?

c. Been placed on probation or had a fine levied against you or your occupational,

professional, or vocational license or permit in any judicial, administrative,

regulatory, or disciplinary action?

d. Been charged with, or indicted for, any criminal offenses other than civil traffic

offenses?

e. Pled guilty, or nolo contendere, or been convicted of, any criminal offenses other

than civil traffic offenses?

f. Had adjudication of guilt withheld, had a sentence imposed or suspended, had

pronouncement of a sentence suspended, or been pardoned, fined, or placed on

probation, for any criminal offenses other than civil traffic offenses?

g. Been subject to a cease and desist letter or order, or enjoined, either temporarily or

permanently, in any judicial, administrative, regulatory, or disciplinary action,

from violating any federal, state law or law of another country regulating the

business of insurance, securities or banking, or from carrying out any particular

practice or practices in the course of the business of insurance, securities or

banking?

h. Been, within the last 10 years, a party to any civil action involving dishonesty,

breach of trust, or a financial dispute?

i. Had a finding made by the Comptroller of any state or the Federal Government

that you have violated any provisions of small loan laws, banking or trust

company laws, or credit union laws, or that you have violated any rule or

regulation lawfully made by the Comptroller of any state or the Federal

Government?


18



j. Had a lien; or foreclosure action filed against you or any entity while you were

associated with that entity?

If the response to any question above is answered "Yes", please provide details

including dates, locations, disposition, etc. Attach a copy of the complaint and

filed adjudication or settlement as appropriate.

13. List any entity subject to regulation by an insurance regulatory authority that you

control directly or indirectly. The term "control" (including the terms "controlling",

"controlled by" and "under common control with") means the possession, direct or

indirect, of the power to direct or cause the direction of the management and policies of

a person, whether through the ownership of voting securities, by contract other than a

commercial contract for goods or non-management services, or otherwise, unless the

power is the result of an official position with or corporate office held by the person.

Control shall be presumed to exist if any person, directly or indirectly, owns, controls,

holds with the power to vote, or holds proxies representing, 10% or more of the voting

securities of any other person.


14. Do [Will] you or members of your immediate family individually or cumulatively

subscribe to or own, beneficially or of record, 10% or more of the outstanding shares of

stock of any entity subject to regulation by an insurance regulatory authority, or its

affiliates? An "affiliate" of, or person "affiliated" with, a specific person, is a person

that directly, or indirectly through one or more intermediaries, controls, or is controlled

by, or is under common control with, the person specified. If the answer is "Yes",

please identify the company or companies in which the cumulative stock holdings

represent 10% or more of the outstanding voting securities.


18



If any of the shares of stock are pledged or hypothecated in any way, give details.

15.

Have you ever been adjudged a bankrupt? ____ If yes, provide details

16. To your knowledge has any company or entity for which you were an officer or

director, trustee, investment committee member, key management employee or

controlling stockholder, had any of the following events occur while you served in such

capacity? If yes, please indicate and give details. When responding to questions (b) and

(c) affiant should also include any events within 12 months after his or her departure

from the entity.

a. Been refused a permit, license, or certificate of authority by any regulatory

authority, or Governmental-licensing agency?

b. Had its permit, license, or certificate of authority suspended, revoked, canceled,

non-renewed, or subjected to any judicial, administrative, regulatory, or

disciplinary action (including rehabilitation, liquidation, receivership,

conservatorship, federal bankruptcy proceeding, state insolvency, supervision or

any other similar proceeding)?

c. Been placed on probation or had a fine levied against it or against its permit,

license, or certificate of authority in any civil, criminal, administrative,

regulatory, or disciplinary action?

Note: If an affiant has any doubt about the accuracy of an answer, the question should

be answered in the positive and an explanation provided.

Dated and signed this _____ day of , 20 at

I hereby certify under penalty of perjury that I am acting on my own behalf, and that the



18



(Signature of Affiant) Date

State of

County of

The foregoing instrument was acknowledged before me this day of ,

20 By ,

who is personally known to me, or

who produced the following identification:

[SEAL] Notary Public

Printed Notary Name

My Commission Expires

(Source: Appendix E renumbered from Appendix D and amended at 37 Ill. Reg. 2895,

effective March 4, 2013)



18



Section 2051.APPENDIX F Preferred Provider Program Administrator Bond/Fiduciary

Account Requirement (Repealed)

Preferred Provider Program Administrator Bond

Illinois Department of

Insurance

320 W. Washington Street

Springfield, IL 62767-0001

Instructions:

Bond/Fiduciary Account Requirement: Registrations of Preferred Provider Program

Administrators who will handle money for purposes of payment for providers' services must

be accompanied by:

1. A surety bond in an amount equal to not less than 10% of the total estimated annual

reimbursements under the program. If more than one program is administered,

separate bonds may be posted for each program or one bond of indemnity may be

posted for all. Administrators posting a bond or bonds must also submit

certification of the total estimated annual reimbursements under the Preferred

Provider Program (or programs if separate bonds are posted), supported by

methodology used to arrive at such figures.

The surety bonds must contain:

• The name of the principal as it appears on the registration form;

• The principal's address as it appears on the registration from;

• The surety company's name and company number;

• The bond number;

• Original signatures of the Illinois resident agent, principal, the surety company's

officer or attorney-in-fact.

2. Or, in lieu of bond, the Preferred Provider Program Administrator may establish one

or more fiduciary accounts, separate and apart from any and all other accounts, for the

receipt and disbursement of funds for reimbursement of providers of services under the

program.

Location of Account:


18



Account Identification No. ______________________________________________

(In the event that both bonds and fiduciary accounts are established, disclose

information about both as requested above.)

Bonds Methodology Fiduciary Accounts Loc/ID#

(Do not write in these spaces.)


18



Preferred Provider Program Administrator Bond

Illinois Department of

Insurance

320 W. Washington Street

Springfield, IL 62767-0001

Co. Code No.

Bond No.

KNOW ALL MEN BY THESE PRESENTS, THAT I/WE

of , a Preferred Provider

Program Administrator, as principal and

a company duly authorized to transact surety business in the State of Illinois, as Surety, are held

and firmly bound unto the People of the State of Illinois and Payable to any party injured under

the terms and conditions of this bond, in the full and penal sum of ($ )

dollars lawful money of the United States of America, for the payment of which, well and truly

to be made, we bind ourselves, our heirs, executors, administrators, successors and assigns,

jointly and severally, firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS SUCH that the above bounded Principal

is now or is about to register in order to engage or continue in the business of a Preferred

Provider Program Administrator, as provided by the Illinois Insurance Code, as amended.

NOW, THEREFORE, if the said Principal shall, while this bond is in force and effect

make a full accounting and due payment to the person or company entitled thereto of funds

coming into his possession as an incident to Preferred Provider Program Administrator

transactions, and shall comply with all the provisions of Article XX½ of the Illinois Insurance

Code, as amended; then this obligation shall be null and void; otherwise to remain in full force

and effect.

PROVIDED, HOWEVER, that this bond shall be continuous in form and may be

terminated by the Surety, upon its giving 30 days notice of its intention of termination, such

notice to be filed with the Director, Department of Insurance, Springfield, Illinois.

IN WITNESS WHEREOF, the said principal has hereunto set his hand and seal, and the

said surety has caused these presents to be signed by its duly authorized officers and its corporate

seal to be hereto affixed this day of , 20 .


18



Countersigned by:

(Signature of Appointed Illinois Producer) (Bonding Company)

At , Illinois

(Signature of Company Officer)

(Signature of Attorney-in-Fact)

*(Signature of Principal)-Social

Security #

*If a Corporation, signature and social

security number of an officer

Important Notice Under the Illinois Compiled Statutes insurance laws, disclosure of this

information is voluntary; however, failure to comply may result in this form not being processed.

This form has been approved by the Forms Management Center.



18



1) Heading of the Part: Business Entities



3115.10 Repealed

3115.30 Repealed

3115.40 Repealed

4) Statutory Authority: Implementing Sections 500-10, 500-30 and 500-70 and authorized

by Section 401 of the Illinois Insurance Code [215 ILCS 5/500-10, 500-30, 500-70, and

401].

5) A Complete Description of the Subjects and Issues Involved: Part 3115 was identified

for repeal as redundant and unnecessary during the Department of Insurance's extensive

review of its regulations under Governor Rauner's "Cutting the Red Tape Initiative" to

ensure that our administrative rules are up to date and reflect current Department

practices and functions; use plain language where appropriate; do not cause undue

administrative delay or backlog; are not unduly burdensome to businesses; and are

statutorily authorized. Part 3115 was determined to be duplicative of Part 3121, with the

exception of several paragraphs which are now being incorporated into Part 3121.

Therefore, Part 3115 is being repealed in its entirety.



None









18






Cliff Garrett or Susan Anders


Department of Insurance Department of Insurance

122 S. Michigan Ave., 19th Floor 320 West Washington, 4th Floor


312/814-2435 217/558-0957

fax: 312/814-2826



affected: None




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


18



TITLE 50: INSURANCE


SUBCHAPTER ii: INSURANCE PRODUCERS, LIMITED INSURANCE

REPRESENTATIVES AND BUSINESS ENTITIES

PART 3115

BUSINESS ENTITIES (REPEALED)

Section

3115.10 Authority

3115.20 Violators of Section 502 of the Illinois Insurance Code (Repealed)


3115.40 Responsibility for Business Entities

AUTHORITY: Implementing Sections 500-10, 500-30 and 500-70 and authorized by Section

401 of the Illinois Insurance Code [215 ILCS 5/500-10, 500-30, 500-70, and 401].

SOURCE: Filed March 3, 1972; effective April 1, 1972; codified at 7 Ill. Reg. 3482; amended at

9 Ill. Reg. 7142, effective May 2, 1985; amended at 27 Ill. Reg. 6347, effective March 31, 2003;

repealed at 42 Ill. Reg. ______, effective ____________.

Section 3115.10 Authority

This Part is promulgated by the Director of Insurance under Section 401 of the Illinois Insurance

Code which empowers the Director to make reasonable rules and regulations as may be

necessary for making effective the insurance laws of this State.

Section 3115.20 Violators of Section 502 of the Illinois Insurance Code (Repealed)

Section 3115.30 Purpose and Scope

a) The purpose of this Part is:

1) To implement Sections 500-10, 500-30 and 500-70 of Article XXXI of the

Illinois Insurance Code [215 ILCS 5/500-10, 500-30 and 500-70]. Failure

to adhere to the standards set forth in this Part shall subject the offender, in

addition to any other penalties or remedies provided by law, to

proceedings under Article XXXI of the Illinois Insurance Code [215 ILCS

5/Art. XXXI]; and


18



2) To place responsibility for the actions of a business entity upon one or

more licensed authorized members of the business entity.

b) This Part applies to all persons, resident and non-resident, who are licensed

insurance producers under the Illinois Insurance Code and who are officers,

directors, members or partners in a business entity as defined in Section 500-10

of the Illinois Insurance Code [215 ILCS 5/500-10].

c) An "authorized member" is a licensed insurance producer who is an officer,

director, member or partner of the business entity and who solicits insurance

business on behalf of the business entity.

Section 3115.40 Responsibility for Business Entities

a) Each business entity at the time of application shall appoint at least one

individual, licensed as an insurance producer and who is an officer, director,

member or partner of the business entity, to be responsible for the compliance of

the business entity with the Illinois Insurance Code and 50 Ill. Adm. Code.

b) The business entity shall be responsible for the actions of its officers, directors,

members or partners.

c) If the business entity or its officers, directors, members or partners acting in

behalf of the business entity commits an act or acts which could cause an

insurance producer to be subject to the provisions of Section 500-70 of the Illinois

Insurance Code [215 ILCS 5/500-70], then any officer, director, member or

partner engaged in such acts shall be subject to the terms set forth in Section 500-

70.


18



1) Heading of the Part: Producer Licensing



3121.10 Amendment

3121.40 Amendment

4) Statutory Authority: Implementing Sections 500-10 through 500-155 and authorized by

Section 401 of the Illinois Insurance Code [215 ILCS 5/500-10 through 500-155 and

401].

5) A Complete Description of the Subjects and Issues Involved: The proposed changes

require that a business entity must, at the time of application, appoint an individual to be

responsible for that entity's compliance with the Illinois Insurance Code and the

applicable rules in Title 50 of the Illinois Administrative Code. The proposed changes

also make the terms of Section 500-70 and Article XXXI of the Insurance Code

applicable to the business entity or those acting in behalf of the business entity. The

Sections being added to Part 3121 are currently included in Part 3115, which is otherwise

duplicative of Part 3121 and is being repealed in its entirety.



None









18











312/814-2435 217/558-0957

fax: 312/814-2826



affected: Business entities and insurance producers

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

entities will be required to appoint one individual to be responsible for the entities

compliance with the Illinois Insurance Code and 50 Ill. Adm. Code.





18



TITLE 50: INSURANCE


SUBCHAPTER ii: INSURANCE PRODUCERS, LIMITED INSURANCE

REPRESENTATIVES AND BUSINESS ENTITIESREGISTERED FIRMS

PART 3121

PRODUCER LICENSING

Section

3121.10 Purpose

3121.20 Definitions

3121.30 Insurance Producer

3121.40 Business Entity Producer

3121.50 Severability

AUTHORITY: Implementing Sections 500-10 through 500-155 and authorized by Section 401

of the Illinois Insurance Code [215 ILCS 5].

SOURCE: Adopted at 39 Ill. Reg. 8288, effective May 26, 2015; amended at 42 Ill. Reg.

______, effective ____________.


The purpose of this Part is to establish requirements for individual insurance producers and

business entity producers that the Director deems necessary to carry out the provisions of

Sections 500-10 through 500-155 of the Illinois Insurance Code. Failure to adhere to the

standards set forth in this Part will subject the offender, in addition to any other penalties or

remedies provided by law, to proceedings under Article XXXI of the Code. Specifically, this

Part establishes the following:

a) defines the term "resident";

b) requires the Designated Responsible Licensed Producer (DRLP) of a business

entity to be an owner, member, partner, officer or director of the business entity;

c) sets the expiration date of a business entity license to be reciprocal with the NAIC

resident business rules;


18



d) defines the expiration date of a first time individual insurance license as that

person's birth month;

e) allows the Department five business days to receive and distribute reported pre-

licensing and continuing education before an applicant can apply or renew a

license;

f) requires individual and business entities to provide an email address on their

Insurance Producer and Business Entity Producer applications; and

g) requires that the individual or business entity notify the Director within 30 days

after an email address change.


Section 3121.40 Business Entity Producer

a) A business entity producer license willshall expire on May 31 biennially.

b) Each business entity, at the time of application, shall designate at least one

individual as the entity's DRLP. The business entity's DRLP must have an active

resident or nonresident producer license in Illinois and must be an owner,

member, partner, officer or director of the business entity who is responsible for

the business entity's compliance with the insurance laws and rules of this State.

c) If the business entity or its officers, directors, members or partners acting in

behalf of the business entity commits an act or acts that could cause an insurance

producer to be subject to the provisions of Section 500-70 of the Code, then any

officer, director, member or partner engaged in those acts will be subject to the

terms set forth in Section 500-70.



18



1) Heading of the Part: Payment of Annual Compliance Fees for Pension Funds



4415.90 Amendment

4) Statutory Authority: Implementing Sections 1A-107 and 1A-112, and authorized by

Section 1A-103 of the Illinois Pension Code [40 ILCS 5/1A-103, 1A-107 and 1A-112].

5) A Complete Description of the Subjects and Issues Involved: The penalty provisions in

Sections 1A-113(a) and (b) of the Illinois Pension Code for late filing of an annual

statement and an actuarial statement include a just cause provision. The penalty for late

payment of a fee in Sec. 1A-113(c) does not include a just cause provision. The existing

rule in Part 4415.90 states incorrectly that a fund "may" be subject to a late penalty when

the statute clearly states the fund "shall" be subject to a late penalty fee if payment is late.

Without legislative changes to Section 1A-113(a) and (c) and associated rules, a good

cause hearing would continue to be required for late filing penalties.



None












18




Assistant General Counse Rules Coordinator




312/814-2435 217/558-0957

fax: 312/814-2826



affected: Small municipalities that offer a pension fund will be affected by this

rule change as will all pension funds operating in Illinois.






18



TITLE 50: INSURANCE


SUBCHAPTER aaa: PENSIONS

PART 4415

PAYMENT OF ANNUAL COMPLIANCE FEES FOR PENSION FUNDS

Section

4415.10 Purpose


4415.30 Definitions

4415.40 Annual Compliance Fee Amount

4415.50 Notification of Annual Compliance Fee Amount

4415.60 Annual Compliance Fee Payment Date

4415.70 Payment Method

4415.80 Hearing on Annual Compliance Fee Amount

4415.90 Penalties

4415.ILLUSTRATION A Designation for Fund Transfer for State Pension Fund for Payment

of Annual Compliance Fee

4415.ILLUSTRATION B Designation for Automated Clearing House Payment of Annual

Compliance Fees

AUTHORITY: Implementing Sections 1A-107 and 1A-112, and authorized by Section 1A-103

of the Illinois Pension Code [40 ILCS 5/1A-103, 1A-107 and 1A-112].

SOURCE: Adopted at 22 Ill. Reg. 7987, effective April 27, 1998; amended at 26 Ill. Reg.

16529, effective October 28, 2002; transferred from the Department of Insurance to the

Department of Financial and Professional Regulation pursuant to Executive Order 2004-6 on

July 1, 2004; amended at 30 Ill. Reg. 13176, effective July 24, 2006; recodified from the

Department of Financial and Professional Regulation to the Department of Insurance pursuant to

Executive Order 2009-04 at 41 Ill. Reg. 4978 ; amended at 42 Ill. Reg. ______, effective

____________.

Section 4415.90 Penalties

Every pension fund required to pay an annual compliance fee pursuant to Section 4415.20

willmay also be subject to a late penalty fee as set forth in 40 ILCS 5/1A-113(c) and may also be

subject to a civilnoncompliance penalty as set forth in 40 ILCS 5/1A-113(d)(5) and 50 Ill. Adm.


18



Code 4435.604435 if the pension fund fails to comply by the payment due date, as set forth in

Section 4415.60 of this Part.



18



1) Heading of the Part: Noncompliance Notification and Penalties



4435.70 Amendment

4435.80 Amendment

4) Statutory Authority: Implementing Section 1A-113 and authorized by Section 1A-103 of

the Illinois Pension Code [40 ILCS 5/1A-103 and 1A-113].

5) A Complete Description of the Subjects and Issues Involved: Currently, Part 4435

requires the Director to hold a hearing before assessing a penalty against a fund who has

failed to timely file its annual statement or pay its annual compliance fee. The hearing is

unnecessary as there is not a factual dispute as to whether an event is late. Entities can

still request a hearing but this amendment will remove the unnecessary requirement of

holding a hearing before a penalty can be assessed.



None













18






Chicago IL 60603 Springfield IL 62767-0001

312/814-2435 217/558-0957

fax: 312/814-2826



affected: All pension funds and governmental units that are required to have a

pension fund or retirement system for government employees are subject to this

rulemaking.






18



TITLE 50: INSURANCE


SUBCHAPTER aaa: PENSIONS

PART 4435

NONCOMPLIANCE NOTIFICATION AND PENALTIES

Section

4435.10 Purpose


4435.30 Definitions

4435.40 Notification of Noncompliance

4435.50 Reasonable Compliance Period for Notification

4435.60 Director's Determination of Noncompliance

4435.70 Director's Determination of Failure to Timely File

4435.80 Hearing to Show Good and Sufficient Cause

AUTHORITY: Implementing Section 1A-113 and authorized by Section 1A-103 of the Illinois

Pension Code [40 ILCS 5/1A-103 and 1A-113].

SOURCE: Adopted at 22 Ill. Reg. 10459, effective June 1, 1998; amended at 42 Ill. Reg.

______, effective ____________.

Section 4435.70 Director's Determination of Failure to Timely File

a) If the Director determines, after a hearing held pursuant to Section 4435.80 of this

Part, that any pension fund has failed, without good and sufficient cause, to file its

annual statement within the time prescribed byunder Section 1A-109 of the Code,

the Director may order the pension fund to pay a penalty, which shall not exceed

$100 for each day's delay [40 ILCS 5/1A-113(a)] (see P.A. 90-507, effective

August 22, 1997).

b) If the Director determines, after a hearing held pursuant to Section 4435.80 of this

Part, that any pension fund has failed, without good and sufficient cause, to file its

actuarial statement within the time prescribed byunder Section 1A-112 of the

Code, the Director may order the pension fund to pay a penalty, which shall not

exceed $100 for each day's delay [40 ILCS 5/1A-113(b)] (see P.A. 90-507,

effective August 22, 1997).


18



c) If the Director determines, after a hearing held pursuant to Section 4435.80 of this

Part, that any pension fund has failed, without good and sufficient cause, to pay

afile its annual compliance fee within the time prescribed byunder Section 1A-

112 of the Code, the Director may order the pension fund to pay a penalty of 5%

of the amount of the annual compliance fee for each month, or part of a month,

that the annual compliance fee is late. TheSuch fee shall not exceed 25% of the

total amount of the annual compliance fee due.


Section 4435.80 Hearing to Show Good and Sufficient Cause

a) If the Director determines that a hearing should be held to allow a demonstration

of good and sufficient cause pursuant to either Section 4435.50 or Section

4435.70 of this Part, thesuch hearing shall be conducted pursuant to the

procedures set forth in 50 Ill. Adm. Code 2402, except that, if more specific

procedures are set forth in this Part, then the more specific procedures apply.

b) At thesuch hearing, the burden of proof to show good and sufficient cause for

failure to comply with the requirements of the Code and/or Department

regulationsregulation(s) shall be on the pension fund, governmental unit, or

elected or appointed officials of a governmental unit notified pursuant to Section

4435.40 of this Part.

c) In determining whether the pension fund, governmental unit, or elected or

appointed official of a governmental unit has met the burden of proof as required

by subsection (b) of this Section, the Director may consider, but is not limited to,

the following:

1) Evidence that, due to no fault of the pension fund, governmental unit, or

elected or appointed official of a governmental unit, there was an

unforeseeable or unexpected delay or occurrence;

2) Evidence of an uncontrollable circumstance; and

3) Evidence pertaining to Acts of God.

d) The Director, in determining that the pension fund, governmental unit, or elected

or appointed official of a governmental unit has failed to meet the burden of proof


18



as required by subsection (b) of this Section, will consider, but is not limited to,

the following:

1) Evidence or claims of ignorance of the requirements of the Code and/or

Department regulations; and

2) Evidence of irresponsibility and/or mismanagement on the part of the

pension fund, governmental unit, or elected or appointed official of a

governmental unit notified.



18



1) Heading of the Part: Navigator, In-Person Counselor and Certified Application

Counselor Certification



4515.10 Amendment

4515.20 Amendment

4515.50 Amendment

4515.60 Amendment

4515.90 Repealed

4515.100 Amendment

4515.110 Repealed

4) Statutory Authority: Implementing and authorized by the Navigator Certification Act

[215 ILCS 121]; 42 USC 300gg-22; and 45 CFR 150.101(b)(2) and 150.201.

5) A Complete Description of the Subjects and Issues Involved: In Section 4515.50, the

amendments to subsection (f), (g), and (h) merely remove textual redundancy, as the

requirements currently provided in Section 4515.50(f) and (g) are already wholly

incorporated in Section 4515.50(h). Amendments throughout the Part remove provisions

applicable to training providers and courses that are certified by the State of Illinois, as

those provisions have become obsolete now that the State no longer offers that

programming. The amendments also add requirements for federal training to comply with

federal law. The amendments indicate that the Department will designate federal training

courses provided online for Navigators, In-Person Counselors, and Certified Application

Counselors to satisfy their initial training and continuing education requirements.








18














312/814-5445 217/558-0957

fax: 312/814-2862



affected: The potential impact is difficult to determine at this time.

B) Reporting, bookkeeping or other procedures required for compliance: No

substantial change in reporting, bookkeeping or other required procedures results

from the proposed amendments.

C) Types of professional skills necessary for compliance: No change. As before,

providers must maintain a bachelor degree or 3 years' experience in the course

subject matter. Navigators, In-Person Counselors, and Certified Application

Counselors must successfully complete federal and State training.




18



TITLE 50: INSURANCE


SUBCHAPTER ww: HEALTH CARE SERVICE PLANS

PART 4515

NAVIGATOR, IN-PERSON COUNSELOR AND CERTIFIED

APPLICATION COUNSELOR CERTIFICATION

Section

4515.10 Purpose

4515.20 Definitions

4515.30 Certification Required

4515.40 Exemption from Certification

4515.50 Application for Certification

4515.60 Certification Renewal

4515.70 Navigator, In-Person Counselor and Certified Application Counselor Prohibited

Conduct

4515.80 Reporting to the Director

4515.90 Training Provider Responsibilities (Repealed)

4515.100 Responsibilities of the Applicant for the Navigator, In-Person Counselor or

Certified Application Counselor Certification

4515.110 Continuing Education Course Design (Repealed)

4515.120 Certification Denial, Nonrenewal or Revocation

4515.130 Regulatory Examinations

4515.140 Disqualifying Offense Review

AUTHORITY: Implementing and authorized by the Navigator Certification Act [215 ILCS

121]; 42 USC 300gg-22; and 45 CFR 150.101(b)(2) and 150.201.

SOURCE: Adopted at 38 Ill. Reg. 2226, effective January 3, 2014; recodified from 50 Ill. Adm.

Code 3125 to 50 Ill. Adm. Code 4515 at 41 Ill. Reg. 4976; amended at 42 Ill. Reg. ______,

effective ____________.


The purpose of this Part is to establish certification criteria for Navigator, In-Person Counselor or

Certified Application Counselor certification; establish pre-certification education requirements

for applicants for Navigators, In-Person Counselors or Certified Application Counselors

certification; and establish continuing education requirements for Navigators, In-Person


18



Counselors or Certified Application Counselors; and establish requirements for Training

Providers and instructors of continuing education courses. Additionally, this Part establishes

disqualification and non-compliance penalty provisions and disqualifying offense review

standards for Training Providers, Navigators, In-Person Counselors or Certified Application

Counselors regardless of residency.



"Certification" means the issuance by the Director of a license or authorization

pursuant to this Part.

"Certified Application Counselor" means any employee or volunteer of a

Certified Application Counselor Organization that enters into an agreement with

the Marketplace to have its employees or volunteers provide information to

individuals and employees about insurance affordability programs and qualified

health plan coverage options; assist individuals and employees to apply for

coverage in a qualified health plan through the Marketplace and for insurance

affordability programs; and help to facilitate enrollment of eligible individuals in

qualified health plans and insurance affordability programs.

"Certified Application Counselor Organization" means any organization

designated by the Marketplace to certify its staff members or volunteers to act as

certified application counselors and includes those organizations described in 45

CFR 155.225.


"Course" means any course of study certified to the Director that meets the

requirements of this Part, including but not limited to seminar, classroom, and

self-study formats.


"Director" means the Director of the Illinois Department of Insurance or anyone

to whom the Director's responsibilities and authority are lawfully delegated.

"In-Person Counselor" means any individual or entity who receives grant funds

from the State of Illinois to perform the activities and duties identified in 45 CFR


18



155.205 or is described or designated by a Marketplace, the State, or the United

States Department of Health and Human Services, or could reasonably be

described or designated as "non-Navigator assistance personnel" as described in

45 CFR 155.215. An In-Person Counselor would engage in the activities and

meet the standards described in 45 CFR 155.215, including, but not limited to:

conduct public education activities to raise awareness of the availability of

qualified health plans;

distribute fair and impartial information concerning enrollment in

qualified health plans, and the availability of premium tax credits under 26

USC 36B and cost-sharing reductions under 42 USC 18071;

facilitate enrollment in qualified health plans;

provide referrals to any applicable office of health insurance consumer

assistance or health insurance ombudsman established under section 2793

of the Public Health Services Act (42 USC 300gg-93), or any other

appropriate State agency or agencies, for any enrollee with a grievance,

complaint, or question regarding his or her health plan, coverage, or a

determination under a plan or coverage; and

provide information in a manner that is culturally and linguistically

appropriate to the needs of the population being served by the

Marketplace.

"Interactive Online Course" means courses only presented on the Internet that do

not require a proctored final exam.

"Marketplace" means any health benefit exchange authorized under the federal

Patient Protection and Affordable Care Act and established or operating in this

State, including any exchange established or operated by the United States

Department of Health and Human Services.

"Navigator" means any individual or entity who is certified as a "Navigator"

under the federal Patient Protection and Affordable Care Act, and means any

individual or entity, other than an insurance producer licensed by the Department,

who receives grant funds from the United States Department of Health and

Human Services to perform any of the activities and duties identified in 42 USC


18



18031(i)(3) or is described or designated by a Marketplace, the State, or the

United States Department of Health and Human Services, or could reasonably be

described or designated, as Navigators, as described in 45 CFR 155.210. A

Navigator would engage in the activities and meet the standards described in 45

CFR 155.210 and 45 CFR 155.215, including, but not limited to:

conduct public education activities to raise awareness of the availability of

qualified health plans;

distribute fair and impartial information concerning enrollment in

qualified health plans, and the availability of premium tax credits under 26

USC 36B and cost-sharing reductions under 42 USC 18071;

facilitate enrollment in qualified health plans;

provide referrals to any applicable office of health insurance consumer

assistance or health insurance ombudsman established under section 2793

of the Public Health Services Act (42 USC 300gg-93), or any other

appropriate State agency or agencies, for any enrollee with a grievance,

complaint, or question regarding his or her health plan, coverage, or a

determination under a plan or coverage; and

provide information in a manner that is culturally and linguistically

appropriate to the needs of the population being served by the

Marketplace.

"Qualified health plan" has the meaning given that term in 42 USC 18021(a).

"Successful Completion" means passing an examination with a score of 80% or

above in no more than three attempts in accordance with criteria established by

the Training Provider.

"Supervised Examination" means a proctored, timed and closed book

examination.

"Training Provider" means any organization duly authorized by the Department to

offer courses to individuals seeking certification by the Director pursuant to this

Part.


18




Section 4515.50 Application for Certification

a) An individual applying for a Navigator, In-Person Counselor or Certified

Application Counselor certification shall make application to the Department on a

form developed or accepted by the Director and declare under penalty of refusal,

suspension, or revocation of the certification that the statements made in the

application are true, correct, and complete to the best of the individual's

knowledge and belief. Before approving the application, the Director shall find

that the individual:

1) Is at least 18 years of age;

2) Maintains his or her principal place of business in the State;

3) Is not disqualified for having committed any act that would be a ground

for denial, suspension, or revocation of a certification;

4) Has not had an insurance producer license, Navigator certification, In-

Person Counselor certification, or Certified Application Counselor

certification, or equivalent license or certification denied, suspended, or

revoked in any state, province, district, or territory or by the United States

Department of Health and Human Services;

5) Has successfully passed the applicable federal training program for

Navigators, In-Person Counselors or Certified Application Counselors;

6) Unless otherwise determined by the Director, other than an applicant for

Certified Application Counselor certification, has submitted a full set of

fingerprints to the Department and successfully completed a criminal

background check in a manner prescribed by the Director. The Director

may accept an equivalent criminal background check performed by the

Navigator entity, In-Person Counselor entity or Certified Application

Counselor Organization;

7) When applicable, has the written consent of the Director pursuant to 18

USC 1033 or any successor statute regulating crimes by or affecting


18



persons engaged in the business of insurance whose activities affect

interstate commerce;

8) Possesses the requisite character and integrity; and

9) Has identified the entity with which the individual is affiliated and

supervised, if any.

b) An entity that acts as a Navigator, supervises or is responsible for the activities of

individual Navigators, or receives funding to perform those activities shall obtain

a Navigator entity certification. An entity applying for Navigator entity

certification shall:

1) Make application on a form containing the information prescribed by the

Director; and

2) Designate an individual registered as a Navigator to be responsible for the

entity's compliance with this Chapter.

c) An entity that acts as an In-Person Counselor, supervises or is responsible for the

activities of individual In-Person Counselors, or receives funding to perform these

activities shall obtain an In-Person Counselor entity certification. An entity

applying for In-Person Counselor entity certification shall:


Director; and

2) Designate an individual registered as an In-Person Counselor to be

responsible for the entity's compliance with this Chapter.

d) An entity that acts as a Certified Application Counselor Organization, supervises

or is responsible for the activities of individual Certified Application Counselors,

or receives funding to perform those activities shall obtain a Certified Application

Counselor certification. An entity applying for a Certified Application Counselor

certification shall:


Director; and


18



2) Designate an individual registered as a Certified Application Counselor to

be responsible for the entity's compliance with this Chapter.

e) The Director may require any documents deemed necessary to verify the

information contained in an application submitted.

f) Entities certified as Navigators shall, in a manner prescribed by the Director,

provide the Director with a list of all individual Navigators that it employs,

supervises, or is affiliated with on a quarterly basis.

g) Entities certified as In-Person Counselors shall, in a manner prescribed by the

Director, provide the Director with a list of all individual In-Person Counselors

that it employs, supervises, or is affiliated with on a quarterly basis.

fh) Entities certified as Navigators, In-Person Counselors or Certified Application

Counselor Organizations shall, in a manner prescribed by the Director, provide

the Director with a list of all individual Navigators, In-Person Counselors or

Certified Application Counselors that it employs, supervises, or is affiliated with

on a quarterly basis.


Section 4515.60 Certification Renewal

a) A Navigator, In-Person Counselor, Certified Application Counselor and Certified

Application Counselor Organization certification shall be valid for one year. A

Navigator, In-Person Counselor, Certified Application Counselor and Certified

Application Counselor Organization certification shall expire 12 months after

certification.

b) Thirty days prior to the end of the 12 month period, a Navigator, In-Person

Counselor, Certified Application Counselor or Certified Application Counselor

Organization may file an application for renewal on the application prescribed by

the Director.

c) Prior to the filing date for application for renewal of a certification, an individual

Navigator, or In-Person Counselor shall complete 12 hours, and an individual

Certified Application Counselor shall complete the applicable federal training

course curriculum for recertification as provided in Section 4515.100(b).4 hours,


18



of continuing education requirements approved by the Director. The individual, at

the time of application, shall file with the Director, by a method prescribed by the

Director, proof of passing the applicable federal training course

curriculum.satisfactory certification of completion of the continuing education

requirements. Any failure to fulfill the ongoing continuing education requirements

shall result in the expiration of the certification. Individual Navigators, In-Person

Counselors or Certified Application Counselors whose certification has expired

for failing to complete the continuing education requirements may not apply for a

certification until they have provided satisfactory proof to the Director that they

have completed the required continuing education requirements and have filed an

application for certification.


Section 4515.90 Training Provider Responsibilities (Repealed)

a) Training shall be provided in a manner duly authorized by the Director.

b) Each Training Provider shall submit to the Director or his or her designee for

certification each course it intends to offer for continuing education credit.

Certification is to be submitted to the Director or his or her designee at least 30

days prior to the first date the course will be offered. Certification must be signed

and dated by the Training Provider and contain: the Training Provider's name;

Federal Employer Identification Number (FEIN) and/or Social Security number

of the individual Training Provider; contact person and that person's telephone

number; published Training Provider telephone number; course title; first date

course will be offered; whether the course is for public education; class of

insurance to which the course is applicable; and type of course instruction. The

certification format and content are available on the Department's website at:

www.insurance.illinois.gov/Producer/producer_information.asp and will be made

available by the Department upon request.

c) The Training Provider shall maintain a copy of all instructional materials for each

course. If the Training Provider ceases to offer a course or makes a significant

change in the course materials, the Training Provider shall maintain the original

material for one year from the date the course was terminated or significantly

changed.


18



d) The Training Provider shall maintain the following records for 3 years at a central

location:

1) Classroom or online course – roster for each classroom course or online

course identifying the instructors, the student, the course, the location, and

the date and hours of attendance.

2) Records of any examinations given.

3) Original course content provided in initial training that is appropriately

updated may be used in continuing education training.

e) The Training Provider shall submit to the Director a list of students who have

successfully completed a continuing education course. The list shall contain

course number; credit hours; course title; reporting week being submitted;

Training Provider name; FEIN and/or Social Security number for the individual

navigator or in-person counselor; and student data (including student name and

Social Security number, date course completed and credit hours for continuing

education). The information shall be submitted by an electronic method of

transfer prescribed by the Director. Each list shall be received by the Director

within 10 days following the end of the week in which the course was completed.

The date of completion for a course with an examination shall be the date the

examination is graded by the Training Provider. No additional fee shall be

charged to the student for reporting the student's successful completion to the

Department. If the initial report contains an error, no additional charge shall be

given for re-reporting the credits to the Department.

f) Instructors shall have either a Bachelor's degree or 3 years experience in the

course subject matter. Training Providers must maintain evidence of those

qualifications while the instructor is actively engaged in instructing the course and

for one year thereafter.

g) Training Providers shall, upon the request of the Director, provide a copy of all

course material, Training Provider records, and evidence of instructor's

qualifications to the Director. All such requests shall be subject to a warrant of

the Director and for the express purpose of gauging compliance with the Code

and Department regulations pertaining to the Code.


18



h) The Director may make arrangements, including contracting with an outside

service administrator, for the purpose of administrating and collecting the

educational data from the Training Providers. Under such an arrangement, all or

a portion of the reporting requirements of the Training Provider shall be made to

the servicing administrator.

i) Training Providers may not advertise a training course or continuing education

course unless it has been approved by the Department.


Section 4515.100 Responsibilities of the Applicant for the Navigator, In-Person Counselor

or Certified Application Counselor Certification

a) Prior to receiving approval for a Navigator, In-Person Counselor or Certified

Application Counselor certification, the applicant must complete approved State

and federal training courses prescribed by the Director. Initial courses for

Navigators, and In-Person Counselors andwill be at least 24 hours and may be

provided in-person or online. Initial courses for Certified Application Counselors

will be at least 6 hours and may be provided in-person or online. An applicant for

a Navigator, In-Person Counselor or Certified Application Counselor must

complete the Director prescribed State and federal training courses within 12

months prior to certification.

b) Certified Navigator, In-Person Counselor or Certified Application Counselor

1) Each Navigator or In-Person Counselor shall complete 2 approved federal

training courses prescribed by the Director to satisfy12 hours of

continuing education requirements prior to requesting an extension of a

certification. The training courses will be provided online.Two of the 12

hours of continuing education must consist of ethics.

2) Each Certified Application Counselor shall complete the same approved

federal training courses that are prescribed by the Director as initial

courses to satisfya minimum of 4 hours of continuing education

requirements prior to requesting an extension of a certification. The

training courses will be provided online.One of the 4 hours of continuing

education must consist of ethics.


18



c) Each Navigator, In-Person Counselor or Certified Application Counselor shall

maintain a record of each course completed for 3 years from the date of

completion. The record shall include the name of the provider of the continuing

education courseTraining Provider, the course title, and the date of completion.

Courses initiated or completed prior to the original issue date of the certificate

shall not be used to meet continuing education requirements.


Section 4515.110 Continuing Education Course Design (Repealed)

a) The certification of a continuing education course must be received by the

Director at least 30 days prior to any course being offered.

b) For purposes of this Section, "full credit" shall mean the reasonable amount of

time, as certified by the Training Provider, that is necessary for a student to study

for and pass an examination or, in the case of a course with no examination, the

number of documented classroom attendance hours.

c) Courses shall be intended to increase the knowledge and understanding of private

and public insurance principles, applicable laws and regulations, Medicaid and

Marketplace policies and operations, and outreach and education skills. The

following courses shall not be considered for continuing education:

1) Courses used for pre-certification training or insurance qualifying

examination preparation.

2) Courses with less than one hour of certified continuing education credit.

d) For purposes of this Section, the minimum number of hours may be made up of

any combination of classroom, on-line course, or self-study hours.

e) One credit will be awarded for each 50 minutes of online instruction.

f) No credit shall be given for a self-study course if the student does not successfully

complete the examination. If the student fails an examination and successive

examinations are given, the successive examinations must be substantially

different from each other. Self-study courses are subject to the following

additional requirements:


18



1) No students shall evaluate their own examination. The evaluation of the

examination must be completed by the Training Provider;

2) No Training Provider shall furnish the answers to an examination prior to

the student completing the examination;

3) Self-study exams must contain at least 25 questions. The number of

questions must increase proportionately as the amount of material

increases;

4) No more than a third of the questions shall be true/false; and

5) Credit hours shall be determined by the time it may take a student to study

the material using 10 8½" by 11" full pages per credit hour (10-12 point

font text), single line spacing with 1" margins.

g) Interactive Online Courses

Interactive online is a type of self-study course. Interactive online courses are, by

definition, only presented on the Internet and do not require a proctored final

exam. To be eligible for certification under Section 3125.90, an interactive online

course must meet the following additional requirements:

1) The course must provide an exam at the end of each course;

2) The course must provide clear instructions on how to navigate through the

course;

3) The course must provide the ability to go back and review any unit at any

time prior to the examination;

4) The course must provide online viewing access to the Department at all

times;

5) The course must include a statement that the student information will not

be sold or distributed to any third party without prior written consent of

the student. Taking the course shall not constitute consent;


18



6) The course must provide some type of encryption. All personal

information, including credit card number and name and address of the

student must be encrypted so that the information cannot be read as it

passes across the Internet;

7) Students must affirm that they, and only they, completed the course; and

8) The course must include the ability to contact an instructor (i.e., automated

e-mail).



18



1) Heading of the Part: Managed Care Reform & Patient Rights



4520.30 Amendment

4520.130 Amendment

4520.140 Amendment

4520.EXHIBIT B Amendment

4520.EXHIBIT C Repealed

4520.EXHIBIT D Repealed

4) Statutory Authority: Implementing the Managed Care Reform and Patient Rights Act

[215 ILCS 134] and authorized by Section 401 of the Illinois Insurance Code [215 ILCS

5/401], 42 USC 300gg-22, and 45 CFR 150.101(b)(2) and 150.201.

5) A Complete Description of the Subjects and Issues Involved: Upon reviewing current

departmental rules for those that may be duplicative or overly burdensome in nature, it

was determined that Exhibit C is the Utilization Review Organization Officers and

Directors Biographical Affidavit. Exhibit D is an outdated version of the NAIC

Biographical Affidavit. The requirements for these affidavits are now contained in the

current NAIC Biographical Affidavit form, which is being placed on the Department's

website. Therefore, Exhibits C and D are no longer necessary, and are being removed

from the rule. Exhibit B(7)(i) is being revised to note the use of the current NAIC

Biographical Affidavit and remove the reference to Exhibits C and D. Housekeeping

changes are also being made in various Sections.



None






18












Deputy General Counsel Rules Coordinator




312/814-5398 217/558-0957

fax: 312/814-2862



affected: None






18



TITLE 50: INSURANCE


SUBCHAPTER ww: HEALTH CARE SERVICE PLANS

PART 4520

MANAGED CARE REFORM & PATIENT RIGHTS

Section

4520.10 Purpose

4520.20 Applicability and Scope

4520.30 Definitions

4520.40 Provision of Information

4520.50 Notice of Nonrenewal or Termination

4520.60 Transition of Services

4520.70 Health Care Services, Appeals, Complaints and External Independent

Reviews

4520.80 Joint Resolution of Complaints – Department of Insurance and Department of

Public Health − Notification and Resolution Process

4520.90 Record of Complaints

4520.100 Access and Quality of Care from Providers Without Primary Care Physician

Referral or Authorization

4520.110 Emergency Services

4520.120 Post Stabilization Services

4520.130 Registration of Utilization Review Organizations

4520.140 Operational Requirements

4520.EXHIBIT A Complaint Reporting Column Descriptions

4520.EXHIBIT B Application for Registration of a Utilization Review Organization

4520.EXHIBIT C Utilization Review Organization Officers and Directors Biographical

Affidavit (Repealed)

4520.EXHIBIT D NAIC Utilization Review Organization Officers and Directors

Biographical Affidavit (Repealed)

AUTHORITY: Implementing the Managed Care Reform and Patient Rights Act [215 ILCS 134]

and authorized by Section 401 of the Illinois Insurance Code [215 ILCS 5/401], 42 USC 300gg-

22, and 45 CFR 150.101(b)(2) and 150.201.

SOURCE: Emergency rules adopted at 23 Ill. Reg. 12466, effective September 27, 1999, for a

maximum of 150 days; adopted at 24 Ill. Reg. 3374, effective February 10, 2000; amended at 24


18



Ill. Reg. 9429, effective July 1, 2000; transferred from the Department of Insurance to the

Department of Financial and Professional Regulation pursuant to Executive Order 2004-6 on

July 1, 2004; amended at 28 Ill. Reg. 13711, effective September 28, 2004; amended at 30 Ill.

Reg. 6368, effective March 29, 2006; amended at 34 Ill. Reg. 6879, effective April 29, 2010;


November 25, 2014; transferred from the Department of Financial and Professional Regulation

to the Department of Insurance pursuant to Executive Order 2009-4; recodified from 50 Ill. Adm.

Code 5420 to 50 Ill. Adm. Code 4520 at 41 Ill. Reg. 4982; amended at 42 Ill. Reg. ______,

effective ____________.


"Act" means the Managed Care Reform and Patient Rights Act [215 ILCS 134].




"Health Care Plan" means a plan that establishes, operates, or maintains a network

of health care providers that has entered into an agreement with the plan to

provide health care services to enrollees to whom the plan has the ultimate

obligation to arrange for the provision of or payment for services through

organizational arrangements for ongoing quality assurance, utilization review

programs, or dispute resolution. Nothing in this definition shall be construed to

mean that an independent practice association or a physician hospital organization

that subcontracts with a health care plan is, for purposes of that subcontract, a

health care plan. For purposes of this definition, "health care plan" shall not

include the following:

indemnity health insurance policies including those using a contracted

provider network;

health care plans that offer only dental or only vision coverage;

preferred provider administrators, as defined in Section 370g(g) of the

Illinois Insurance Code;


18



employee or employer self-insured health benefit plans under the federal

Employee Retirement Income Security Act of 1974;

health care provided pursuant to the Workers' Compensation Act or the

Workers' Occupational Diseases Act; and

not-for-profit voluntary health services plans with health maintenance

organization authority in existence as of January 1, 1999 that are affiliated

with a union and that only extend coverage to union members and their

dependents.

"Health Care Provider" means any physician, hospital facility, nursing home or

other person that is licensed or otherwise authorized to deliver health care

services. Nothing in the Act shall be construed to define independent practice

associations or physician hospital organizations as health care providers.

"Long-Standing Relationship" means the continuous relationship between an

enrollee and his or her primary care physician of not less than 5 years; except in

the case of a child 5 years or under who has had a continuous relationship with the

same primary care physician since birth, placement for adoption, guardianship or

foster care.

"Managed Care Organization" or "MCO" means a partnership, association,

corporation or other legal entity, including but not limited to individual practice

associations (IPAs) and Physician Hospital Organizations (PHOs), which delivers

or arranges for the delivery of health care services through providers it has

contracted with or otherwise made arrangements with to furnish such health care

services.

"Nursing Home" means a skilled nursing care facility that is subject to licensure

by the Illinois Department of Public Health under the Nursing Home Care Act

[210 ILCS 45].

"Ongoing Course of Treatment" means the treatment of a condition or disease that

requires repeated health care services pursuant to a plan of treatment by a

physician because of the potential for changes in the therapeutic regimen.

"Person" means a corporation, association, partnership, limited liability company,

sole proprietorship, or any other legal entity.


18



"Referral Arrangement" means that, for each referral or standing referral, a

referral arrangement exists between a participating primary care physician and a

participating specialist physician or a participating health care provider when a

participating primary care physician makes a referral of an enrollee for that

referral or standing referral to a participating specialist physician or participating

health care provider.

"Standing Referral" means a written referral from the primary care physician for

an ongoing course of treatment pursuant to a treatment plan specifying needed

services and time frames developed by a specialist in consultation with the

primary care physician and in accordance with procedures developed by the

health care plan.

"Utilization Review" means the evaluation of the medical necessity,

appropriateness, and efficiency of the use of health care services, procedures, and

facilities.

"Utilization Review Organization" or "URO" means an entity that has established

one or more utilization review programs. This definition does not include:

persons providing utilization review program services only to the federal

government;

self-insured health plans under the Federal Employee Retirement Income

Security Act of 1974 (ERISA); however, this Part does not apply to

persons conducting a utilization review program on behalf of these health

plans;

hospitals and medical groups performing utilization review activities for

internal purposes; however, this Part does apply when the hospital or

medical group is conducting utilization review for another person.

"Utilization Review Program" means a program established by a person to

perform utilization review.


Section 4520.130 Registration of Utilization Review Organizations


18



a) Registration: On or after July 1, 2000, a UROutilization review organization may

not conduct utilization review for persons subject to Section 85 of the Managed

Care Reform and Patient Rights Act [215 ILCS 134/85] unless the UROutilization

review organization has registered with the Director. An application for

registration shall be in a format as set forth in Exhibit B of this Part, and must be

signed by an officer or director of the UROutilization review organization. Initial

registration applications shall be deemed approved unless the Director finds such

application to be noncompliant with either the standards set forth in Section 85 of

the Managed Care Reform and Patient Rights Act or this Part.

b) Fees: A UROutilization review organization must register with the Director every

two years. A fee of $3,000 must be submitted with each application or renewal

unless the UROutilization review organization is accredited by the Health

Utilization Medical Standards of the American Accreditation Healthcare

Commission (URAC), the National Committee for Quality Assurance (NCQA),

or Thethe Joint Commission on Accreditation of Healthcare Organizations

(JCAHO), in which case the fee is $1500.

c) Any material changes in the information filed pursuant to this Part shall be filed

with the Director within 30 days after such change. Loss of accreditation status

will require re-registration and payment of a $3000 fee pursuant to subsections (a)

and (b) of this Section.

d) Renewals and Appeals:

1) A registered UROutilization review organization may continue to operate,

if the application and fee have been filed 30 days prior to the renewal date,

until the renewal is denied or issued by the Director.

2) If the renewal application and fee are not received prior to the renewal

date, the registration will automatically expire and the UROutilization

review organization must re-register and pay a fee pursuant to subsections

(a) and (b) of this Section.

3) If an application for registration or renewal is denied under this Part, the

applicant may appeal such denial by requesting a hearing under the terms

of Article 10 of the Illinois Administrative Procedure Act [5 ILCS 100/10-

5 through 10-70] and 50 Ill. Adm. Code 2402. A petition for hearing must


18



be postmarked no later than 30 days from the date of initial denial. A

hearing shall be scheduled within 45 days after the petition is filed with

the Director. A decision by the Director shall be rendered within 60 days

after the close of the hearing.


Section 4520.140 Operational Requirements

A UROUtilization Review Organization shall comply with all URAC standards except

whenwhere specifically addressed by SectionsSection 45 and 50 of the Act for health care plans.

The terms in SectionsSection 45 and 50 of the Act shall have the meaning assigned by the Act.

Utilization review decisions shall be issued pursuant to the Managed Care Reform and Patient

Rights Act [215 ILCS 134/1 through 299].



18



Section 4520.EXHIBIT B Application for Registration of a Utilization Review

Organization

1. Name of Applicant

Type of Applicant (check one):

Corporation

Partnership

Limited Liability Corporation

Other (Describe)

FEIN ___________________

Contact Person

Business Telephone Number ( )

Fax Number ( )

Email Address

2. Type of UROUtilization Review Organization (check all that apply):

Health Care Utilization Review (as defined in Section 4520.30 of this Part)

Workers' Compensation Review (as defined in 50 Ill. Adm. Code 2905.10)

Check all categories that apply (as applicable):

Licensed HMO providing utilization review services outside of the HMO (as

defined in 50 Ill. Adm. Code 4521.20)

Licensed HMO providing utilization review services only within that HMO (as

defined in 50 Ill. Adm. Code 4521.20)

Third Party Administrator

Licensed Insurance Company providing utilization review services outside of that

Insurance Company

Licensed Insurance Company providing utilization review services only within that

Insurance Company

Hospital or Medical Group providing utilization review services for other than

internal purposes

Workers' Compensation UROUtilization Review Organization

Other (Describe)

3. Business Address


18



Street (do not use PO Box)

City State Zip -

4. Mailing Address

Street or P.O. Box

City State Zip -

5. Business Telephone Number ( )

Toll Free Number ( )

FAX Number ( )

Email Address/Website

6. Agent for Service of Process in Illinois

Name

Street Address (do not use P. O. Box)

City State Zip -

7. For each Utilization Review Program supply the following information:

a) The name, address, telephone number and normal business hours of the utilization

programs.

b) The organization and governing structure of the utilization review programs.

c) The number of reviews in Illinois for which utilization review is conducted by each

utilization program for the current year.

Health Reviews

Workers' Compensation Reviews

d) Hours of operation of each utilization review program.

e) Description of the grievance process for each utilization program.

f) Please check (all that apply) to determine if you are using the Health Standards

and/or the Workers' Compensation Standards in order to meet or exceed American

Accreditation Healthcare Commission (URAC) Standards and provide the

Department with a copy of your current certificates, if applicable.

Health Utilization Standards


18



Workers' Compensation Standards

g) Number of reviews in Illinois for which utilization review was conducted for the

previous calendar year for each utilization review program.

Health Reviews

Workers' Compensation Reviews

h) Written policies and procedures for protecting confidential information according

to applicable State and Federal laws for each utilization review program.

i) Biographical information for organization officers and directors, as set forth in the

National Association of Insurance Commissioners (NAIC) Biographical Affidavit

form located under "Managed Care License/Registration Information" on the

Department's website at http://insurance.illinois.gov/company/

companyMain.htmlExhibit C or D (as appropriate). Biographical affidavits shall

be stamped "confidential" by the UROutilization review organization.

8. Indicate accreditation status below.

a) Health accredited by:

URAC

NCQA

JCAHO

b) Workers' Compensation accredited by:

URAC Health Standards

URAC Workers' Compensation Standards

c) Unaccredited

9. Check Enclosed

a) Accredited fee $1500 biennially

b) Unaccredited fee $3000 biennially

10. Affirmation (to be signed by an officer or director of the UROutilization review

organization only):

http://insurance.illinois.gov/company/


18



I, do hereby certify that

(typed name, title)

(UROutilization review organization)

complies with the Health and/or Workers' Compensation Utilization Management

Standards of the American Accreditation Healthcare Commission (URAC) sufficient to

achieve American Accreditation Healthcare Commission (URAC) accreditation or

submits evidence of accreditation by the American Accreditation Healthcare Commission

(URAC) accreditation or submits evidence of accreditation by the American

Accreditation Healthcare Commission (URAC) for its Health and/or Workers'

Compensation Utilization Management Standards, and do hereby affirm that all of the

information presented in this application is true and correct.

(signature) (date)

Please mail completed application to:

Illinois Department of Insurance

Utilization Review Unit

320 West Washington Street


(217) 558-2309



18



Section 4520.EXHIBIT C Utilization Review Organization Officers and Directors


Full name and address of company (do not use group name)

In connection with the above-named company, I herewith make representations and supply information about myself as hereinafter set forth. (Attach addendum or separate sheet if space hereon is insufficient to answer any question fully.) If answer is "No" or "None," so state.

1. Affiant's full name (initials not acceptable)

2a. Have you ever had your name changed? ____ If yes, give the reason for the change ___________________

2b. Give other names used at any time

3. Affiant's Social Security 4. Date and place of birth

5. Affiant's business address Business Telephone #

6. List your residences for the last ten (10) years starting with your current address, giving:

Date Address City and State

7. Education: List dates, names, locations and degrees

College:

Graduate Studies:

Others: 8. List memberships in Professional Societies and Associations

9. Present or proposed positions with the applicant company

10. List complete employment record (up to and including present jobs, positions, directorates or officerships) for the past twenty (20) years, giving:

Dates Employer and Address Title

Please circle one

11. May present employer be contacted? Yes No May former employers be contacted? Yes No

12a. Have you ever been in a position which required a fidelity bond? ______ If any claims were made on the bond, give details.


18



12b. Have you ever been denied an individual or position schedule fidelity bond, or had a bond cancelled or revoked?___ If yes,

give details.

(OVER)


18



13. List any professional, occupational, and vocational licenses issued by any public or governmental licensing agency or regulatory authority which you presently hold or have held in the past (state date, license issued, issuer of license, date terminated, reasons for termination.)

14. During the last ten (10) years, have you ever been refused a professional, occupational or vocational license by any public or governmental licensing agency or regulatory authority, or has any such license held by you ever been suspended or revoked? ________ If yes, give details.

15. List any administrators, insurers or HMOs in which you control directly or indirectly or own legally or beneficially 10% or more of the outstanding stock (in voting power).


16. Will you or members of your immediate family subscribe to or own, beneficially or of record, shares of stock of the applicant administrator or its affiliates? _____ If any of the shares of stock are pledged or hypothecated in any way, give details.

17. Have you ever been adjudged bankrupt?

18. Have you ever been convicted or had a sentence imposed or suspended or had pronouncement of a sentence suspended or been pardoned for conviction of or pleaded guilty or nolo contendere to any information or an indictment charging any felony or charging a misdemeanor involving embezzlement, theft, larceny, or mail fraud, or charging a violation of any corporate securities statute or any insurance law, or have you been the subject of any disciplinary proceedings of any federal or state regulatory agency? If yes, give details

19. Has any company been so charged, allegedly as a result of any action or conduct on your part? _____ If yes, give details.

20. Have you ever been an officer, director, trustee, investment committee member, key employee, or controlling stockholder of any insurer, HMO or administrator which, while you occupied any such position or capacity with respect to it, became insolvent or was placed under supervision or in receivership, rehabilitation, liquidation or conservatorship? ____________

21. Has the certificate of authority or license to do business of any insurance company or registration of any administrator of which you were an officer or director or key management person ever been suspended, revoked or denied while you occupied

such position? ______ If yes, give details.

Declaration Dated and signed this day of at

I hereby certify under penalty of perjury that I am acting on my own behalf and that the foregoing statements are true and correct to the best of my knowledge and belief.

State of

County of

Personally appeared before me the above named

personally known to me who being duly sworn deposes and says that he executed the above instrument and that the statements and answers contained therein are true and correct to the best of his knowledge and belief.

Subscribed and sworn to before me this day of 20


18



(SEAL) (Notary Public)

My commission expires

Important Notice: Disclosure of this information is required under Illinois Departmental Rules



18



Section 4520.EXHIBIT D NAIC Utilization Review Organization Officers and Directors


NAIC BIOGRAPHICAL AFFIDAVIT

Applicant Name:

NAIC No:

FEIN:

To the extent permitted by law, this affidavit will be kept confidential by the State insurance regulatory authority.

(Print or Type)

Full name, address and telephone number of the present or proposed entity under which this

biographical statement is being required (Do Not Use Group Names).

In connection with the above-named entity, I herewith make representations and supply


hereon is insufficient to answer any question fully.) IF ANSWER IS "NO" OR "NONE", SO

STATE.

1. a. Affiant's Full Name (Initials Not Acceptable).

b. Maiden Name (if applicable).

2. a. Have you ever had your name changed? If yes, give the reason for the change

and provide the full name(s).

b. Other names used at any time (including aliases).


18



3. a. Are you a citizen of the United States?

b. Are you a citizen of any other country; if so, what country?

4. Affiant's Occupation or Profession.

5. Affiant's business address.

Business telephone.

6. Education and Training:

College/

University

City/State Dates Attended

(MM/YY)

Degree Obtained

Graduate

Studies:

College/

University


(MM/YY)

Degree Obtained

Other Training:

Name


(MM/YY)

Degree/Certification

Obtained

Note: If affiant attended a foreign school, please provide full address and telephone

number of the college/university. (If applicable, provide the foreign student

identification number in the space provided in the Biographical Affidavit

Supplemental Information.)

7. List of memberships in professional societies and associations.

Name of

Society/Association

Contact Name Address of

Society/Association

Telephone Number of

Society/Association


18



8. Present or proposed position with the applicant entity.

9. List complete employment record for the past 20 years, whether compensated or

otherwise (up to and including present jobs, positions, partnerships, owner of an entity,

administrator, manager, operator, directorates or officerships). Please list the most recent

first. Attach additional pages if the space provided is insufficient. It is only necessary to

provide telephone numbers and supervisory information for the past 10 years.

Beginning/Ending

Dates (MM/YY)

-

Employer's Name




Supervisor/Contact

Beginning/Ending

Dates (MM/YY)

-

Employer's Name




Supervisor/Contact

Beginning/Ending

Dates (MM/YY)

-

Employer's Name




Supervisor/Contact

Beginning/Ending

Dates (MM/YY)

-

Employer's Name



18





Supervisor/Contact

10. a. Have you ever been in a position that required a fidelity bond?

If any claims were made on the bond, give details.

b. Have you ever been denied an individual or position schedule fidelity bond, or had a

Bond canceled or revoked? If yes, give details.

11. List any professional, occupational and vocational licenses (including licenses to sell

securities), issued by any public or governmental licensing agency or regulatory

authority or licensing authority, that you presently hold or have held in the past. For any

non-insurance regulatory issuer, identify and provide the name, address and telephone

number of the licensing authority or regulatory body having jurisdiction over the

licenses issued. Attach additional pages if the space provided is insufficient.


Address City


Postal Code

License Type License # Date Issued (MM/YY)

Date Expired (MM/YY) Reason for Termination



Address City


Postal Code

License Type License # Date Issued (MM/YY)


18



Date Expired (MM/YY) Reason for Termination


12. In responding to the following, if the record has been sealed or expunged, and the affiant

has personally verified that the record was sealed or expunged, an affiant may respond

"no" to the question. Have you ever:

a. Been refused an occupational, professional, or vocational license or permit by any

regulatory authority, or any public administrative or governmental licensing agency?

b. Had any occupational, professional, or vocational license or permit you hold, or

have held, subjected to any judicial, administrative, regulatory or disciplinary

action?

c. Been placed on probation or had a fine levied against you or your occupational,

professional or vocational license or permit in any judicial, administrative,

regulatory or disciplinary action?

d. Been charged with, or indicted for, any criminal offenses other than civil traffic

offenses?

e. Pled guilty or nolo contendere, or been convicted of, any criminal offense(s) other

than civil traffic offenses?

f. Had adjudication of guilt withheld, had a sentence imposed or suspended, had

pronouncement of a sentence suspended, or been pardoned, fined or placed on

probation for any criminal offenses other than civil traffic offenses?

g. Been subject to a cease and desist letter or order, or enjoined, either temporarily or

permanently, in any judicial, administrative, regulatory or disciplinary action, from

violating any federal or state law or law of another country regulating the business

of insurance, securities or banking, or from carrying out any particular practice or

practices in the course of the business of insurance, securities or banking?

h. Been, within the last 10 years, a party to any civil action involving dishonesty,


18



breach of trust or a financial dispute?

i. Had a finding made by the Comptroller of any state or the Federal Government that

you have violated any provisions of small loan laws, banking or trust company

laws, or credit union laws, or that you have violated any rule or regulation lawfully

made by the Comptroller of any state or the Federal Government?

j. Had a lien or foreclosure action filed against you or any entity while you were

associated with that entity?

If the response to any question above is answered "Yes", please provide details,

including dates, locations, disposition, etc. Attach a copy of the complaint and filed

adjudication or settlement, as appropriate.

13. List any entity subject to regulation by an insurance regulatory authority that you control

directly or indirectly. The term "control" (including the terms "controlling", "controlled

by" and "under common control with") means the possession, direct or indirect, of the

power to direct or cause the direction of the management and policies of a person,

whether through the ownership of voting securities, by contract other than a commercial

contract for goods or non-management services, or otherwise, unless the power is the

result of an official position with or corporate office held by the person. Control shall be

presumed to exist if any person, directly or indirectly, owns, controls, holds with the

power to vote, or holds proxies representing, 10% or more of

the voting securities of any other person.


14. Do [Will] you or members of your immediate family individually or cumulatively

subscribe to or own, beneficially or of record, 10% or more of the outstanding shares of

stock of any entity subject to regulation by an insurance regulatory authority, or its

affiliates? An "affiliate" of, or person "affiliated" with, a specific person is a person that

directly, or indirectly through one or more intermediaries, controls, or is controlled by, or


18



is under common control with, the person specified. If the answer is "Yes", please

identify the company or companies in which the cumulative stock holdings represent

10% or more of the outstanding voting securities.

If any of the shares of stock are pledged or hypothecated in any way, give details.

15. Have you ever been adjudged bankrupt? If yes, provide details

16. To your knowledge has any company or entity for which you were an officer or director,

trustee, investment committee member, key management employee or controlling

stockholder, had any of the following events occur while you served in such capacity? If

yes, please indicate and give details. When responding to questions (b) and (c), affiant

should also include any events within 12 months after his or her departure from the

entity.

a. Been refused a permit, license, or certificate of authority by any regulatory authority

or governmental licensing agency?

b. Had its permit, license or certificate of authority suspended, revoked, canceled, non-

renewed or subjected to any judicial, administrative, regulatory or disciplinary action

(including rehabilitation, liquidation, receivership, conservatorship, federal

bankruptcy proceeding, state insolvency, supervision or any other similar

proceeding)?

c. Been placed on probation or had a fine levied against it or against its permit, license

or certificate of authority in any civil, criminal, administrative, regulatory or

disciplinary action?

Note: If an affiant has any doubt about the accuracy of an answer, the question

should be answered in the positive and an explanation provided.


18



Dated and signed this day of , 20 at

I hereby certify under penalty of perjury that I am acting on my own behalf, and that the


(Signature of Affiant) Date

State of County of

The foregoing instrument was acknowledged before me this day of ,

20 by , and: who is personally known to me, or

who produced the following identification:

[SEAL] Notary Public

Printed Notary Name

My Commission Expires



18

DEPARTMENT OF PUBLIC HEALTH


1) Heading of the Part: Health Care Employee Vaccination Code



956.10 Amendment

956.20 Amendment

956.30 Amendment

956.APPENDIX A Amendment

4) Statutory Authority: : Sections 2310-195, 2310-610 and 2310-650 of the Department of

Public Health Powers and Duties Law of the Civil Administrative Code [20 ILCS

2310/2310-195, 2310-610 and 2310-650]

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

implements PA100-1029, signed August 22, 2018, effective July 1, 2018, which modified

the instance in which a health care employee may decline an offer of an influenza

vaccine.

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

rulemaking: None

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


9) Does this rulemaking contain incorporations by reference? Yes


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

State Mandate.


rulemaking: Interested persons may present their comments concerning this rulemaking

within 45 days after the publication of the issue of the Illinois Register to:

Erin Conley

Rules Coordinator


18



Division of Legal Services

Illinois Department of Public Health

535 W. Jefferson St., 5th floor


217/782-2043

[email protected]



affected: None




included on either of the two most recent Regulatory Agendas because the need for the

rulemaking was not apparent when the Regulatory Agendas were prepared.

The full text of the Proposed Amendment is identical to that of the text of the Emergency

Amendment for this Part, and begins in this issue of the Illinois Register on page: 17942.


18

DEPARTMENT OF NATURAL RESOURCES

NOTICE OF ADOPTED AMENDMENTS

1) Heading of the Part: Duck, Goose and Coot Hunting


3) Section Numbers: Adopted Actions:

590.15 Amendment

590.40 Amendment

590.50 Amendment

590.60 Amendment

590.80 Amendment

4) Statutory Authority: Implementing and authorized by Sections 1.3, 1.4, 1.13, 2.1, 2.2,

2.18, 2.19, 2.20, 2.23, 2.33, 3.5, 3.6, 3.7 and 3.8 of the Wildlife Code [520 ILCS 5/1.3,

1.4, 1.13, 2.1, 2.2, 2.18, 2.19, 2.20, 2.23, 2.33, 3.5, 3.6, 3.7 and 3.8] and Migratory Bird

Hunting (50 CFR 20).

5) Effective Date of Rules: September 21, 2018



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

the Department of Natural Resources' principal office and is available for public

inspection.

9) Notice of Proposal published in Illinois Register: 42 Ill. Reg. 4286, March 9, 2018

10) Has JCAR issued a Statement of Objection to this rulemaking? No

11) Differences between Proposal and Final Version: In Section 590.15, 590.40 and 590.50,

regarding the materials used in the construction of waterfowl blinds, the proposed

language has been deleted and the stricken language reinstated. Grammatical changes

have been made throughout the proposed rulemaking.

12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the

agreements issued by JCAR? Yes



18



14) Are there any rulemakings pending on this Part? No

15) Summary and Purpose of Rulemaking: This Part has been amended to make statewide

program changes, open and close State-owned or -managed sites, and amend procedures

at State sites.

16) Information and questions regarding these adopted rules shall be directed to:

Javonna Ackerman, Legal Counsel

Department of Natural Resources

One Natural Resources Way


217/557-0126

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


18



TITLE 17: CONSERVATION

CHAPTER I: DEPARTMENT OF NATURAL RESOURCES

SUBCHAPTER b: FISH AND WILDLIFE

PART 590

DUCK, GOOSE AND COOT HUNTING

Section

590.10 Statewide Regulations

590.15 Duck, Goose and Coot General Hunting Regulations on Department-Owned and

-Managed Sites Listed in Sections 590.40 and 590.50

590.20 Permit Controlled Department Sites Only – Duck, Goose and Coot Hunting

590.25 Illinois Youth Waterfowl Hunting Permit Requirements (Repealed)

590.26 Illinois Youth Duck Hunting Permit Requirements (Repealed)

590.30 Duck, Goose and Coot General Hunting Regulations on all Department-Owned

and -Managed Sites (Repealed)

590.40 Check Station Department Sites Only – Duck, Goose and Coot Hunting

590.50 Non-Check Station Department Sites Only – Duck, Goose and Coot Hunting

590.60 Various Other Department Sites – Duck, Goose and Coot Hunting

590.70 Ohio River

590.80 Early and Late Goose (all species) Hunting Regulations on Department Sites

590.EXHIBIT A The Non-Toxic Shot Zones of Illinois (Repealed)

AUTHORITY: Implementing and authorized by Sections 1.3, 1.4, 1.13, 2.1, 2.2, 2.18, 2.19,

2.20, 2.23, 2.33, 3.5, 3.6, 3.7 and 3.8 of the Wildlife Code [520 ILCS 5/1.3, 1.4, 1.13, 2.1, 2.2,

2.18, 2.19, 2.20, 2.23, 2.33, 3.5, 3.6, 3.7 and 3.8] and Migratory Bird Hunting (50 CFR 20).

SOURCE: Adopted at 5 Ill. Reg. 8857, effective August 25, 1981; emergency amendment at 5

Ill. Reg. 11386, effective October 14, 1981, for a maximum of 150 days; codified at 5 Ill. Reg.

10638; Part repealed at 6 Ill. Reg. 9647, effective July 21, 1982; new Part adopted at 6 Ill. Reg.

11865, effective September 22, 1982; amended at 7 Ill. Reg. 13229, effective September 28,

1983; emergency amendment at 7 Ill. Reg. 13948, effective October 6, 1983, for a maximum of

150 days; emergency expired March 3, 1984; amended at 8 Ill. Reg. 18968, effective September

26, 1984; amended at 9 Ill. Reg. 14242, effective September 5, 1985; peremptory amendment at

9 Ill. Reg. 15062, effective September 25, 1985; emergency amendment at 9 Ill. Reg. 15928,

effective October 8, 1985, for a maximum of 150 days; emergency expired March 5, 1986;

amended at 10 Ill. Reg. 16588, effective September 22, 1986; emergency amendment at 10 Ill.

Reg. 17773, effective September 26, 1986, for a maximum of 150 days; emergency expired


18



February 23, 1987; amended at 11 Ill. Reg. 10560, effective May 21, 1987; emergency

amendment at 11 Ill. Reg. 15242, effective August 28, 1987, for a maximum of 150 days;

emergency expired January 25, 1988; amended at 12 Ill. Reg. 12200, effective July 15, 1988;

emergency amendment at 12 Ill. Reg. 16233, effective September 23, 1988, for a maximum of

150 days; emergency expired February 20, 1989; emergency amendment at 12 Ill. Reg. 22244,

effective December 7, 1988, for a maximum of 150 days; emergency expired May 6, 1989;

amended at 13 Ill. Reg. 10525, effective June 20, 1989; amended at 13 Ill. Reg. 14925, effective

September 7, 1989; emergency amendment at 13 Ill. Reg. 16579, effective October 4, 1989, for a

maximum of 150 days; emergency expired March 3, 1989; amended at 13 Ill. Reg. 17354,

effective October 27, 1989; amended at 14 Ill. Reg. 638, effective January 2, 1990; amended at

14 Ill. Reg. 13529, effective August 13, 1990; emergency amendment at 14 Ill. Reg. 17029,

effective September 26, 1990, for a maximum of 150 days; emergency expired February 23,

1991; amended at 15 Ill. Reg. 1487, effective January 22, 1991; amended at 15 Ill. Reg. 13293,

effective September 3, 1991; emergency amendment at 15 Ill. Reg. 16745, effective November

5, 1991, for a maximum of 150 days; emergency expired April 3, 1992; amended at 16 Ill. Reg.

570, effective December 31, 1991; amended at 16 Ill. Reg. 12491, effective July 28, 1992;

emergency amendment at 16 Ill. Reg. 16672, effective October 15, 1992, for a maximum of 150

days; emergency expired March 9, 1993; emergency amendment at 16 Ill. Reg. 18851, effective

November 17, 1992, for a maximum of 150 days; emergency expired April 11, 1993; emergency

amendment at 17 Ill. Reg. 1658, effective January 20, 1993, for a maximum of 150 days;

emergency expired June 14, 1993; amended at 17 Ill. Reg. 16443, effective September 27, 1993;


days; emergency expired March 13, 1994; amended at 18 Ill. Reg. 10023, effective June 21,

1994; emergency amendment at 18 Ill. Reg. 15161, effective September 27, 1994, for a

maximum of 150 days; emergency expired February 23, 1995; amended at 19 Ill. Reg. 13209,

effective September 11, 1995; amended at 20 Ill. Reg. 754, effective December 29, 1995;

recodified by changing the agency name from Department of Conservation to Department of

Natural Resources at 20 Ill. Reg. 9389; amended at 20 Ill. Reg. 12417, effective August 30,

1996; amended at 21 Ill. Reg. 578, effective December 30, 1996; amended at 21 Ill. Reg. 11713,

effective August 12, 1997; amended at 22 Ill. Reg. 2182, effective January 2, 1998; amended at

22 Ill. Reg. 15961, effective August 24, 1998; amended at 22 Ill. Reg. 21881, effective

December 3, 1998; emergency amendment at 23 Ill. Reg. 3092, effective March 10, 1999, for a

maximum of 150 days; emergency expired August 6, 1999; amended at 23 Ill. Reg. 11195,

effective August 26, 1999; emergency amendment at 23 Ill. Reg. 14640, effective December 13,

1999, for a maximum of 150 days; emergency expired May 10, 2000; amended at 24 Ill. Reg.

12517, effective August 7, 2000; amended at 25 Ill. Reg. 14131, effective October 22, 2001;


effective September 18, 2003; amended at 28 Ill. Reg. 13562, effective September 24, 2004;

amended at 29 Ill. Reg. 9654, effective June 24, 2005; emergency amendment at 29 Ill. Reg.


18



13900, effective August 30, 2005, for a maximum of 150 days; amended at 29 Ill. Reg. 18924,

effective November 4, 2005; amended at 30 Ill. Reg. 15694, effective September 18, 2006;

amended at 31 Ill. Reg. 13128, effective August 30, 2007; amended at 32 Ill. Reg. 14761,

effective August 27, 2008; amended at 33 Ill. Reg. 14671, effective October 13, 2009; amended

at 34 Ill. Reg. 16457, effective October 8, 2010; amended at 35 Ill. Reg. 13161, effective July 26,


22735, effective November 18, 2014; amended at 39 Ill. Reg. 11387, effective August 3, 2015;

amended at 40 Ill. Reg. 10492, effective July 20, 2016; amended at 41 Ill. Reg. 8575, effective

June 28, 2017; amended at 42 Ill. Reg. 17547, effective September 21, 2018.

Section 590.15 Duck, Goose and Coot General Hunting Regulations on

Department-Owned and -Managed Sites Listed in Sections 590.40 and 590.50

a) Definitions

1) Blind site – A position within 10 feet of numbered stake where blind must

be constructed. Sites shall be located and marked by the Department.

2) Blind builder – Person who has been assigned a blind site as a result of the

drawing.

3) Blind partner – Persons chosen by the builder to assist in construction and

maintenance of the blind and to share its blind claiming and hunting

privileges.

4) Drawing – Procedure by which blind sites are assigned.

5) Blind registration card – Card issued by the Department and tacked inside

each blind listing names and addresses of blind builders.

6) Complete blind – A blind with all framework and siding constructed and

in readiness for use, including final brushing.

7) Hunting party – An individual or group of hunters occupying a single

boat, blind, or hunting site.

8) Dog Hide – A compartment or area within or attached to a blind that

houses a dog used to retrieve downed waterfowl.


18



b) Blind Construction

1) Blinds must be at least 4 feet x 8 feet, but no higher than 14 feet from the

water surface at normal pool level, to the top of the shooting box, sturdy

enough to withstand daily usage, and must be maintained in good

condition by blind builders throughout the duck season. Blinds shall be

numbered and that number shall be visible from the outside of the blinds.

Blinds must be placed within 10 feet of assigned Department marked site.

2) Blinds built over water must be of platform construction with the platform

constructed above normal water conditions or they may be floating blinds.

At Mississippi River Pools 21, 22, 24, 25 and 26, river blinds located on

the Mississippi and Illinois Rivers and at Batchtown management area

located on the river side of the closing levee may also be pull-in boat hide

blinds. Boat hide blind must have a minimum size of 18' x 7.5', be sturdy

enough to withstand daily use considering conditions of the site, and be

maintained in good condition throughout the season. Boat hide blinds

shall be completed, including final brushing, by three weeks prior to the

opening day of duck season for pools 21, 22 and 24, by four weeks prior

to opening day of duck season for other areas mentioned in this subsection

(b)(2). Failure to meet these standards shall result in forfeiture of the blind

site.

3) Blinds must be completed, including final brushing, 3 weeks in advance of

opening date of regular duck season (except at Mississippi River Area

Pools 25 and 26 blinds and final brushing must be completed 4 weeks in

advance of opening date of regular duck season) after which time the

Department shall inspect all blinds and blind sites and issue Blind

Registration Cards to those which pass inspection. Blind builders shall not

gain access to Redwing Slough/Deer Lake State Natural Area until the day

following Labor Day. Blind builders must post Blind Registration Card in

the blind prior to the first day of regular duck season. If adverse weather

or water conditions make compliance with this rule difficult the site

superintendent or the District Wildlife Manager may grant extensions.

4) Sites on which blinds have not been built, as well as sites on which blinds

of an unsatisfactory quality have been built, shall be reassigned to

alternates selected at a drawing or by a first come-first served allocation

held on a day publicly announced by the Department. All reassigned


18



blinds must be completed, including final brushing, 7 days prior to the

opening date of the duck season on sites posted as being closed to

trespassing 7 days prior to regular duck season. At Mississippi River Area

Pools 25 and 26 reassigned blinds must be completed by sunset of the

Sunday immediately preceding the opening day of regular duck season.

On all other sites reassigned blinds must be completed, including final

brushing, by the day before the opening day of the regular duck season.

5) Not more than 3 persons shall be registered for assignment of any one

blind site. Blind builders shall submit partner names on a blind

registration form as designated at the site drawing. After the designated

time, no changes shall be accepted. As directed by the information sheet

available at each site, the registration form must be filled out and returned

within 30 days after the blind drawing date. Failure to do so shall result in

forfeiture of blind.

6) No person shall be allowed to be a blind builder or partner on more than

one public waterfowl blind managed by the Department.

7) Boat hides are required, except as noted in Sections 590.40 and 590.50,

and must have minimum inside dimensions of 18' x 6', except all blinds

allocated and constructed after January 1, 2005 must have minimum

dimensions of 18' x 7½'. Boat hides shall be sturdy enough to withstand

daily use considering the conditions of the site, and must be maintained in

good condition throughout the season, and shall be completed including

final brushing by 3 weeks prior to the opening day of duck season, except

at Mississippi River Area Pools 25 and 26 boat hides and final brushing

must be completed 4 weeks prior to the opening day of duck season;

failure to meet these standards shall result in forfeiture of blind site.

8) Previous year's blind builders shall have until 7 days after the next

allocation period drawing to salvage materials from their blinds except as

indicated in Sections 590.40(a) and (b) and 590.50(a) and (b).

9) Blinds must include a dog hide that is on the same level as the blind. The

dog hide can either be incorporated into the blind by providing a hole at

floor level that measures at least 20 inches high by 20 inches wide or by

providing a separate compartment that is attached to the blind. Hides

attached to the blind should have a minimum floor space that measures 2


18



feet by 2 feet and should be at least 2.5 feet high with 2 openings. One

opening should be between the blind and the dog hide, should measure at

least 20 inches by 20 inches, and should be constructed at the same level

as the blind floor. The water access opening should be at least 20 inches

wide and 20 inches high. Hides either within the blind or attached should

have an enforced ramp to water level that is at least 15 inches wide with

cleats every 12 inches. Openings in the blind must be capable of being

closed when not in use.

c) Use of Blindsblinds

1) Attempts to claim blinds by any manner other than actual occupation shall

be considered in violation of this Part and shall be cause for arrest. The

insertion of a boat into the boat hide and/or the spreading of decoys before

a blind shall not be considered legal occupation of a blind.

2) No person shall hunt, or attempt to hunt, except from within a registered

blind.

3) Persons under 16 years of age shall not hunt, or attempt to hunt, unless

accompanied by an adult due to safety factors.

4) Blinds shall not be locked.

5) Claiming or attempting to claim any blind thatwhich is legally occupied,

and/or harassing, in any manner, the occupants of a blind which has been

legally occupied, is unlawful.

6) No person shall fish within 250 yards of an occupied blind within the

hunting area.

7) All hunting parties shall hunt over a spread of at least 12 decoys during

duck season and Canada goose season. The decoys shall be staked,

placed, or floating, be individually visible, be at least 8 inches long, and

not be within a boat, blind or container.

8) At sites where a manned check station is in operation, hunters are required

to show their hunting license and Federal and State Migratory Waterfowl

Stamp. Persons exempt by law from having a hunting license and an


18



Illinois stamp must show valid photo identification (example: Firearm

Owner's Identification Card, driver's license, etc.).

9) Cutting of vegetation greater than 4 inches diameter at breast height

(d.b.h.) will result in loss of the blind for the current allocation period.

d) Public Drawing

1) Time and place for all sites holding drawings shall be publicly announced

by the Department.

2) A registrant for a drawing must be at least 16 years of age and possess a

current or preceding year's annual Illinois hunting license that allows the

individual to hunt without additional supervision, a current or preceding

year's Illinois Migratory Waterfowl Stamp unless exempted by law, and a

valid photo identification (example: Firearm Owner's Identification Card,

driver's license). Persons exempted by law from possessing a hunting

license or waterfowl stamp must have valid photo identification. In order

to be an eligible applicant for the drawing, the participant must not at the

time of the drawing have his/her hunting privileges suspended or revoked

by the Department or any other jurisdiction. Applicants must be present

for the registration and drawing to be eligible for allocation of blind sites.

3) No person is eligible to draw for a waterfowl blind who has had his or her

hunting privileges suspended by Illinois or any other state, or is prohibited

from possessing a firearm due to a conviction for violation of a State or

federal law, or is prohibited from possessing a firearm by action of law

regardless of conviction status (such as homeland security, under order of

protection, etc.). Any ineligible person who submits an application to

draw for a waterfowl blind shall be refused, if known by the drawer at the

time to be ineligible, or shall have his or her draw declared void upon

discovery of ineligibility by the Department. A refused or voided

application shall be referred to the appropriate State's Attorney for

possible prosecution under the Criminal Code of 1961 [720 ILCS 5].

e) Flood Rules

1) In the event that State managed sites are flooded to the point that public

waterfowl blinds cannot be constructed or waterfowl blinds are no longer


18



usable during a flood, or if the receding flood water does not allow for

Department blind inspection under subsection (b), the Department, by

public announcement and/or posting, may permit waterfowl hunting under

one of the following subsections:

A) If the check station for that site is open, all rules apply, except that

hunting will be allowed from boat, platform or floating blinds

which must be located within 10 feet of the marked blind site.

B) If the check station is not operable, all rules apply except that

hunting will be allowed from boat, platform or floating blinds

which must be located within 10 feet of the marked blind site.

Additionally, rules listed in Section 590.40(b)(1), (2), (3), (4) and

(9) shall not be in force. Rules concerning blind claiming as listed

in Section 590.50(b) shall apply.

C) If blind sites have not been marked and no check station is

operable, the area will be open to hunting from platform, floating

or boat blinds or by walk-in hunting, anywhere on the area except

refuges and closed waterfowl rest areas. Preplacement of

unattended decoys and/or unoccupied blinds or boat hides do not

constitute lawful possession of a hunting site. All hunting parties

must remain 200 yards apart and follow normal closing hours for

the site.

D) In all above flood circumstances, regulations requiring the

construction of a separate boat hide and regulations regarding the

minimum standards for blind construction and inspection shall be

suspended for that season.

2) Hunting locations allocated via public drawing shall be retained by blind

registrants despite the lack of a completed blind.

f) Violation of this Section is a petty offense (see 520 ILCS 5/2.20).

(Source: Amended at 42 Ill. Reg. 17547, effective September 21, 2018)

Section 590.40 Check Station Department Sites Only – Duck, Goose and Coot Hunting


18



a) The sites listed in this Section conform to Statewide Regulations (Section 590.10)

and General Department Regulations (Section 590.15), except as noted in

parentheses and in the remainder of this Section. Daily hunting hours close at

1:00 p.m. unless otherwise indicated in parentheses below.

1) Anderson Lake State Conservation Area – All Management Units (the use

of any metal, with the exception of fasteners less than 12 inches in length,

carpet, felt paper, plastic snow fence or any mesh material will be

prohibited in the construction of waterfowl blinds)

2) Batchtown State Wildlife Management Area(3:30 p.m. closing) (except

the last 3 days of duck season and the last 3 days of regular Canada goose

season shall close at sunset; 3 year blind allocation period; all interior

lakes and sloughs located on Turner Island will be noted as walk-in or

boats without motors only; no permanent blinds are allowed; hunting

parties shall not hunt over fewer than 12 decoys or more than 24 decoys in

the walk-in area; decoys must be picked up daily; no vehicles are allowed

in the walk-in area; walk-in shooting hours end at 12:00 p.m. CST daily)

3) Calhoun Point State Wildlife Management Area (3:30 p.m. closing)

(except the last 3 days of duck season and the last 3 days of regular

Canada goose season shall close at sunset; 3 year blind allocation period)

4) The Glades State Wildlife Management Area (3:30 p.m. closing) (except


season shall close at sunset; 3 year blind allocation period; all interior

lakes and sloughs located on 12 Mile Island will be noted as walk-in; only

boats without motors are allowed in the management area; no permanent

blinds are allowed; hunting parties shall not hunt over fewer than 12

decoys or more than 24 decoys; decoys must be picked up daily; no

vehicles are allowed in the walk-in area; walk-in shooting hours end at

12:00 p.m. daily)

5) Godar-Diamond State Wildlife Management Area (3:30 p.m. closing)

(except the last 3 days of duck season and the last 3 days of regular

Canada goose season shall close at sunset; 3 year blind allocation period)

6) Horseshoe Lake State Park – Madison County (3:30 p.m. closing) (except



18



season shall close at sunset; 3 year blind allocation)

7) Lake DePue State Fish and Wildlife Area and Lake DePue Walk-in Unit

(aka 3I)

8) Marshall State Fish and Wildlife Area (the use of any metal, with the

exception of fasteners less than 12 inches in length, carpet and plastic

snow fence or mesh will be prohibited in the construction of waterfowl

blinds; previous year's blind builders shall have until February 1 to salvage

blind materials; hunting hours for early and late goose seasons will end at

sunset)

9) Mazonia State Fish and Wildlife Area (previous years blind builders shall

have until February 1 to salvage blind materials; goose hunting prohibited

before and after duck season; closed Mondays and Tuesdays)

10) Rice Lake State Fish and Wildlife Area (the use of any metal, with the

exception of fasteners less than 12 inches in length, carpet, felt paper,

plastic snow fence or any mesh material will be prohibited in the

construction of waterfowl blinds; previous year's blind builders have until

May 1 to remove their blinds)

11) Sanganois State Fish and Wildlife Area (check station and walk-in areas,

hunters are not required to hunt from a blind site during goose seasons

held after the duck season)

12) Spring Lake State Fish and Wildlife Area (the use of any metal, with the

exception of fasteners less than 12 inches in length, carpet, felt paper,

plastic snow fence or any mesh material will be prohibited in the

construction of waterfowl blinds; waterfowl hunters will have the option

to either construct a platform blind (4' x 8' with boat hide) or a boat hide

blind no less than 7.5' x 18' in dimension and fully enclosed on all four

sides, must include four shooting holes or ports and brushed (doors

capable of being closed are permitted for boat access); hunters choosing to

construct a boat type of blind will not be required to construct a dog hide;

blind numbers 2, 5, 6, 7, 8, 9, 10, 11, 12 and 14 must be removed in their

entirety by May 1, but may be removed beginning November 21; blinds 1,

3, 4, 13, 15, 16, 17, 18, 19 and 20 must be removed in their entirety by the

previous year's blind builder no later than 7 days after the next allocation


18



period; hunting from boat blinds is permitted within 10 feet from any

numbered stake if the blind has not been constructed, or beginning

November 21, at locations where the blind has been dismantled; the

maximum horsepower for motors on the lake is 25 h.p.; goose hunting

prohibited prior to the regular duck season)

13) Stump Lake State Wildlife Management Area (3:30 p.m. closing) (except


season shall close at sunset; 3 year blind allocation period)

14) Woodford State Fish and Wildlife Area (the use of any metal, with the

exception of fasteners less than 12 inches in length, carpet and plastic

snow fence or mesh will be prohibited in the construction of waterfowl

blinds; previous year's blind builders shall have until February 1 to salvage

blind materials; hunting hours for early and late goose seasons will end at

sunset; hunting at the Woodford State Fish and Wildlife Area – Forest

Wetland Unit will take place every Wednesday and Saturday during the

Central Zone duck hunting season; 2 blinds will be available by a drawing

held at the site office 60 minutes prior to shooting hours (1½ hours before

sunrise); hunters with disabilities classified under 15 ILCS 335/4A as P2a

disabilities, as demonstrated by an Illinois Person with a Disability

Identification Card, will draw for blinds first; blinds not claimed by

hunters with disabilities may be drawn by other hunters)

15) William Powers State Recreation Area (all waterfowl hunting prohibited

before youth waterfowl season; closed Mondays and Tuesdays)

b) The following regulations apply to all sites listed in this Section under subsection

(a):

1) All hunters must report to the check station to fill out information cards,

show hunting licenses or valid photo identification (example: Firearm

Owner's Identification Card, driver's license, etc.) and receive all required

materials before proceeding to blinds. Beginning the day after duck

season ends, when the check station is not operating, unclaimed blinds

shall be allocated on a first come-first served basis, as per Section

590.50(b)(1), (2) and (3). Goose hunters must sign in prior to hunting and

sign out and report their harvest at the end of each day's hunt.


18



2) Registered blind builders or partners desiring to claim their blinds must

report to the check station at least one hour before hunting hour each day

and occupy that blind for at least one hour. Hunters wishing to move to

another blind during their daily hunt must report back to the check station

for reassignment.

3) All hunting must be from registered blinds only and hunters must occupy

their blinds within one hour after registering at the check station.

4) All hunters must be checked out within one hour of the close of the legal

hunting hours. To complete the check out process, all hunters must

complete the hunter harvest card/sheet and deposit it in the box provided.

At Mississippi River Area Pools 25 and 26, hunters must be checked out

within one hour after leaving their blinds.

5) It shall be unlawful to trespass upon the designated duck hunting area

during the 7 days prior to the regular duck season as posted at the site. At

Mississippi River Area Pools 25 and 26 and Horseshoe Lake State Park

(Madison County) it shall be unlawful to trespass upon the designated

duck hunting area between sunset of the Sunday immediately preceding

opening day of regular duck season through the day before regular duck

season as posted at the site.

6) It shall be unlawful to trespass upon areas designated as waterfowl rest

areas or refuges from 2 weeks prior to the start of regular duck season

through the close of regular duck and Canada goose season, except on

areas of Mississippi River Area Pools 25 and 26, Batchtown State Wildlife

Management Area, Crull Hollow and Godar Refuge State Wildlife Area,

which reopen the day after regular duck season closes.

7) No more than 4 persons shall occupy a blind at one time, except on the

statewide Youth Waterfowl Hunting Day, as authorized in Section

590.15(f), 5 persons may occupy a blind at one time only if the party is

comprised of 2 youth hunters, their non-hunting parents and one non-

hunting guide.

8) Blind sites shall be allocated for a period of one year unless otherwise

noted in parentheses under subsection (a).


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9) During duck season, blinds not claimed by the builder or partners by one

hour before hunting time shall be assigned by a drawing at this time and

during the hours from 8:00 a.m. to 11:00 a.m., except at Marshall State

Fish and Wildlife Area and Woodford State Fish and Wildlife Area, any

blinds left unclaimed after completion of the daily drawing will be

assigned on a first come-first served basis up to 30 minutes after the

drawing and from 8:00 a.m. to 11:00 a.m. Once 4 hunters have occupied a

blind, all original occupants of the blind must check out at the check

station before any additional hunters may occupy that blind. Blinds may

be reallocated on a first-come, first-served basis or, if multiple parties

arrive at the check station at 8:00 a.m., there will be a second drawing,

except at Batchtown State Wildlife Management Area, Calhoun Point

State Wildlife Management Area, The Glades State Wildlife Management

Area, Godar-Diamond State Wildlife Management Area, Horseshoe Lake

State Park (Madison County) and Stump Lake State Wildlife Management

Area (9:00 a.m.-12:00 p.m.), after which time the area shall be closed to

additional hunters.


allocation period drawing to salvage materials from their blinds, except as

listed in parentheses under subsection (a). After this date, all materials

become the property of the new blind builder or the Department.

11) For those sites listed in this subsection (b) that have 3 year blind allocation

periods, re-registration of blind sites during the non-draw years must be

accomplished in person during a publicly announced period. Failure to

re-register during the prescribed period will result in the loss of blind site.

Registrants must present current year's Illinois hunting license and State

waterfowl stamp for each blind builder. Blinds not re-registered will be

allocated by a drawing. No waterfowl blind may be removed until after

the close of the waterfowl season.

12) Any person who violates any provision of this Part shall be subject to

arrest and/or removal from the premises under applicable statutes,

including Section 21-5 of the Criminal Code (Criminal Trespass to State

Supported Land).

c) Violation of this Section is a petty offense (see 520 ILCS 5/2.20).


18




Section 590.50 Non-Check Station Department Sites Only – Duck, Goose and Coot

Hunting

a) The following sites conform to Statewide Regulations (Section 590.10) and

General Department Regulations (Section 590.15), except as noted in the

remainder of this Section. Sites that require use of windshield cards by hunters as

specified in 17 Ill. Adm. Code 510.10 are followed by (2).

Anderson Lake State Fish and Wildlife Area − West Point Management

Unit (walk-in or boat; staked sites; daily draw)

Chain O'Lakes State Park (for goose seasons prior to duck season, hunting

allowed from numbered blind sites only and blinds need not be completed;

blinds must be removed in their entirety, including support posts, by April

1; failure to comply will result in the blind builder and partners for that

blind losing the privilege of being a blind builder or partner at this site for

the following year)

Clear Lake State Wildlife Management Area (one year blind allocation)

Des Plaines River State Conservation Area (goose hunting permitted

during special goose season prior to regular waterfowl season; during

special goose season hunting allowed from numbered blind sites only and

blinds do not have to be completed; previous years blind builders shall

have until February 1 to salvage blind materials)

Fuller Lake State Fish and Wildlife Management Area (daily hunting

hours close at 3:30 p.m., except the last 3 days of duck season and the last

3 days of regular Canada goose season shall close at sunset; 3 year blind

allocation period)

Helmbold Slough State Wildlife Management Area (3 year blind

allocation period)

Illinois River – Pool 26 (3 year blind allocation period)

Kankakee River State Park (no boat hide required; no goose hunting


18



permitted prior to duck season; previous years blind builders shall have

until February 1 to salvage blind materials)

Lake Sinnissippi State Fish and Wildlife Area (Department Owned Land;

the use of any metal, with the exception of fasteners less than 12 inches in

length, will be prohibited in the construction of waterfowl blinds;

waterfowl hunters allocated blind numbers 1, 2, 3, 4, 13, 14, 15, 16, 20,

21, 26, 27, 28, 29, 30, 31 or 32 will have the option to either construct a

platform blind (4' x 8' with boat hide) or a boat hide blind no less than 7.5'

x 18' in dimension fully enclosed on all four sides, must include 4

shooting holes or ports and brushed (doors capable of being closed are

permitted for boat access); hunters choosing to construct a boat hide type

of blind will not be required to construct a dog hide; blind numbers 1, 2, 3,

4, 13, 14, 15, 16, 20, 21, 26, 27, 28, 29, 30, 31 and 32 must be removed in

their entirety no later than 10 days after the close of the Northern Zone

waterfowl season, but may be removed beginning November 15;

backwater blinds 5, 6, 7, 8, 9, 10, 11, 12, 18, 19, 22, 23, 24 and 25 must be

removed in their entirety by the previous years' blind builder by no later

than 7 days after the next allocation period; hunting from boat blinds is

permitted within 10 feet from any numbered stake if the blind has not been

constructed)

Marshall State Conservation Area – Sparland Unit (the use of any metal,

with the exception of fasteners less than 12 inches in length, carpet, and

plastic snow fence or mesh will be prohibited in the construction of

waterfowl blinds; previous year's blind builders shall have until February

1 to salvage blind materials) (2)

Matthiessen State Park (land based waterfowl hunting only; closed during

all site firearm deer seasons; no hunting allowed until IDNR stakes

hunting locations; hunters must hunt within 10' of IDNR stake; no more

than 3 hunters per stake; portable blinds only; hunting parties shall not

hunt over less than 12 decoys; all hunter items must be removed daily;

first-come, first-served; sign in/out and report of harvest required)

Meredosia Lake State Fish and Wildlife Area (2 year blind allocation

period) – Rules and Regulations will be publicly announced

Mississippi River Pool 16 (federal lands; no permanent blinds – temporary


18



blinds only above Velie Chute except for Goose Pond, Sunfish Slough,

and Milan Bottoms (landward area upriver from River Mile 474); 2 year

blind allocation period; scull boat hunting for waterfowl is permitted but

hunters must not get closer than 200 yards from a permanent duck blind or

in areas posted as closed to scull hunting)

Mississippi River Pool 17 (federal lands; scull boat hunting for waterfowl

is permitted but hunters must not get closer than 200 yards from a

permanent duck blind or in areas posted as closed to scull hunting; 2 year

blind allocation period)

Mississippi River Pool 18 (federal lands; scull boat hunting for waterfowl

is permitted but hunters must not get closer than 200 yards from a

permanent duck blind or in areas posted as closed to scull hunting; 2 year

blind allocation period)

Mississippi River Pools 21, 22, 24 (federal lands; hunting allowed from a

portable blind or anchored boat, in Illinois waters, maintaining > 200 yard

intervals at the following locations: Pool 21 – west of Long Island (river

mile 332.5-340.5), Pool 22 – entire pool, except river miles 309-314

(north of Shuck Island to north end of Armstrong Island), Pool 24 – west

of Denmark Island (river mile 291.0-294.5); 2 year blind allocation period

for registered blinds; floating blinds required at sites identified in the site's

Hunter Fact Sheet)

Mississippi River Pools 25, 26 (federal lands; 3 year blind allocation

period; all interior lakes and sloughs located on Kelly Island will be noted

as walk-in or boats without motors only; no permanent blinds are allowed;

hunting parties shall not hunt over fewer than 12 decoys or more than 24

decoys in the walk-in area; decoys must be picked up daily; no vehicles

are allowed in the walk-in area; walk-in shooting hours end at 12:00 p.m.

daily)

Momence Wetlands State Natural Area (hunting allowed from a portable

blind or anchored boat blind only; no more than 3 persons per blind site;

no hunting during firearm deer seasons)

Pekin Lake State Fish and Wildlife Area (all hunting must be from

portable boat blinds within 10 yards of the assigned numbered stake or


18



buoy; no more than 3 persons shall use one blind; exceptions will be

announced at the site's annual duck blind drawing; goose hunting

prohibited prior to the regular duck season)

Piasa Island State Wildlife Management Area (3 year blind allocation

period)

Quincy Bay (Mississippi River Pool 21) (hunting hours legal opening to

1:00 p.m. for blinds 1 through 25 during regular duck season only)

Red's Landing State Wildlife Management Area (3 year blind allocation

period; that portion of Red's Landing that is north of the access road will

be noted as a walk-in or boats without motors area only; no permanent

blinds; daily hunting hours will close at 12:00 p.m.; hunting parties shall

not hunt over less than 12 decoys nor more than 24 decoys)

Redwing Slough/Deer Lake State Natural Area (closed on Mondays,

Tuesdays, Thursdays and Fridays except that hunting will be allowed on

opening day of duck season; no goose hunting except during duck season;

previous years blind builders shall have until February 1 to salvage blind

materials; daily hunting hours will close at 1:00 p.m.; hunting from boat

blinds is permitted within 10 feet of marked blind sites)

Riprap Landing State Wildlife Management Area (3 year blind allocation

period; that portion of Riprap Landing that is south of blind 5, known as

Rust Land Company, will be noted as a walk-in; boats without motors in

area only; no permanent blinds; hunting parties shall not hunt over less

than 12 decoys or more than 24 decoys; decoys must be picked up daily;

no vehicles allowed; walk-in area shooting hours end at 12:00 p.m. daily)

Shabbona Lake State Recreation Area (hunting will be allowed between

November 1 and December 31 but only when the North Zone duck and/or

Canada goose seasons are open; permanent, pre-constructed blinds will be

awarded for either November or December; boat and dog hides are not

required; persons awarded blinds at the drawing, or their partners, must

claim their blinds one hour before legal shooting hours; hunting hours will

end at 1:00 p.m. daily)

b) The following regulations apply to all sites listed in this Section under subsection


18



(a).

1) Blind builders or partners must occupy their blinds by one-half hour

before opening hunting hour each day in order to claim their blind for the

day. Blinds not legally occupied may be claimed on a first come-first

served basis.

2) Attempts to claim blinds by any manner other than actual occupation shall

be considered in violation of this Part and shall be cause for arrest. The

insertion of a boat into the boat hide and/or the spreading of decoys before

a blind shall not be considered legal occupation of a blind.

3) All hunting must be from registered blinds only unless otherwise noted in

parentheses under subsection (a).

4) Blind sites shall be allocated for a period of one year unless otherwise

noted in parentheses under subsection (a).


allocation period drawing to salvage materials from their blinds, except as

listed in parentheses under subsection (a). After that date, blinds become

the property of the new blind builders.

6) No more than 4 persons shall occupy a blind at one time, except on

Mississippi River Pools 16, 17, 18, 21, 22 and 24.

7) On Mississippi River Pools 16, 17, 18, 21, 22 and 24 the limit of 4 persons

does not apply.

8) For those sites listed in subsection (a) that have 3 year blind allocation

periods, re-registration of blind sites during the non-draw years must be

accomplished in person during a publicly announced period. Failure to

re-register during the prescribed period will result in the loss of blind site.

Registrants must present current year's Illinois hunting license and State

waterfowl stamp for each blind builder. Blinds not re-registered will be

allocated by a drawing. No waterfowl blind may be removed until after

the close of the waterfowl season.



18



areas or refuges 2 weeks prior to the start of regular duck season through

the close of regular duck and Canada goose season as posted at the site.

10) It shall be unlawful to trespass upon the designated waterfowl hunting area

during the 7 days prior to the waterfowl season as posted at the site. At

Mississippi River Area Pools 25 and 26 it shall be unlawful to trespass

upon the designated waterfowl hunting area between sunset of the Sunday

immediately preceding the opening date of regular duck season through

the day before regular duck season as posted at the site.

11) Any person who violates any provision of this Part shall be subject to

arrest and/or removal from the premises under applicable statutes,

including Section 21-5 of the Criminal Code (Criminal Trespass to State

Supported Land).

c) Blind winners on the following sites will be provided forms for the purpose of

maintaining waterfowl harvest records. The forms must be completed and

returned within 15 days after the close of the site's waterfowl season or the blind

builder and partners for that blind shall not be allowed to be a blind builder or

partner at these sites for the following year.

Chain O'Lakes State Park

Clear Lake State Wildlife Management Area

Des Plaines State Conservation Area

Kankakee River State Park

Pekin Lake State Fish and Wildlife Area

Redwing Slough/Deer Lake State Natural Area

Starved Rock State Park

Illinois River Area: The use of any metal, with the exception of

fasteners less than 12 inches in length, is prohibited in the

construction of waterfowl blinds. Blind removal may begin

November 15; thereafter, a boat blind is permitted within 10 feet of


18



the stake site. All blinds must be removed in their entirety no later

than 10 days after the close of the Central Zone duck season.

Blind builders and their partners who fail to remove the blind in its

entirety will not be allowed to be a builder or partner the following

year.

Land based waterfowl hunting: closed during all site firearm deer

seasons; no hunting allowed until IDNR stakes hunting locations;

hunters must hunt within 10 feet of the IDNR stake; no more than

3 hunters per stake; portable blinds only; hunting parties shall not

hunt over fewer than 12 decoys; all hunter items must be removed

daily; first-come, first-served; sign in/out and report of harvest

required

d) Violation of this Section is a petty offense (see 520 ILCS 5/2.20).


Section 590.60 Various Other Department Sites – Duck, Goose and Coot Hunting

The sites listed in this Section conform to Statewide Regulations (Section 590.10) and the

following regulations, except as noted.

a) Regulations

1) Hunting hours are from legal opening to 1:00 p.m., except hunting shall be

permitted until sunset on those sites indicated by (1) following the location

in subsection (b). Sites that require use of windshield cards by hunters as


2) No permanent blinds allowed, except for Department constructed blinds;

all blinds must be of a portable nature and constructed with natural

vegetation at the blind site and no pits can be dug. All materials must be

removed or dismantled at the end on the day's hunt.

3) Portable boat blinds must have been completed, including final brushing,

before entering the water and must be removed at the end of the day's

hunt.


18



4) Waterfowl hunters must maintain a distance of 200 yards between hunting

parties, except for Department constructed blinds or staked locations.

5) No hunting is permitted within 200 yards of developed recreation areas,

public use facilities, and construction or industrial sites.

6) No check station is operated nor is any check in/check out required, except

as indicated in the remainder of this Section.


areas or refuges from 2 weeks prior to the start of regular duck season

through the close of regular duck and Canada goose season except as

indicated in the remainder of this Section.

8) It shall be unlawful to trespass upon the designated waterfowl hunting area

during the 7 days prior to the regular duck season unless otherwise posted

at the site.

b) Site Specific Regulations

1) Boston Bay (Mississippi River Pool 18)

No permanent blinds may be built; temporary blinds only; 200 yards apart.

2) Cache River State Natural Area (hunters must sign in prior to hunting and

sign out and report their harvest at the end of each day) (1)

3) Campbell Pond State Wildlife Management Area (2)

4) Cape Bend State Fish and Wildlife Area (1)

5) Carlyle Lake Project Lands and Waters

A) No one may enter the subimpoundment area (except for parking

areas) to hunt waterfowl before 4:30 a.m. each day of the

waterfowl hunting season, or remain in the area after 3:00 p.m.

each day of the waterfowl hunting season, except during the last 3

days of the Canada goose season and during any goose seasons

that occur before or after Canada goose season, hunters must be

out of the area by one hour after sunset and not return until 4:30


18



a.m. The subimpoundment area is defined as that area bordered by

the Kaskaskia River on the east and south and extending north and

west to the Carlyle Lake project boundary, and includes

impoundment areas 1, 2, 3, and 4 and within the impoundments on

the East Side Management Area located east of the Kaskaskia

River.

B) The waters of Carlyle Lake are defined as the lake and that portion

of the Kaskaskia River, North Fork, East Fork, Peppenhorst

Branch and Allen Branch north of the buoys only, and Hurricane

Creek that are within the boundaries of the Carlyle Lake property.

C) Walk-in hunting shall be permitted in subimpoundment areas.

Boats with no motors are allowed in the subimpoundments.

Department personnel will designate boat launching locations.

D) When the water level in the subimpoundment area is too high (due

to flooding) to allow walk-in hunting, Department personnel shall

post that the area is open to boats with motors of 10 hp or less and

will designate boat launching locations.

E) Known eagle protection areas will be posted by the Site

Superintendent and will be closed to waterfowl hunting.

F) Each hunting party is required to hunt over a minimum of 12

decoys. Decoys shall not be left out unattended or after 3:00 p.m.

each day of the waterfowl season, except during the last 3 days of

the Canada goose season and during any goose seasons that occur

after Canada goose season, decoys shall not be left out unattended

or later than one hour after sunset.

G) All waterfowl hunters must register prior to hunting each day of

the waterfowl hunting season at the nearest accessible registration

box. All hunters must sign out and record their harvest daily

before they exit the area.

H) The Army Corps of Engineers may build blinds on Corps managed

lands and waters for management purposes only.


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I) During the last 3 days of Canada goose season, hunting hours shall

close at sunset daily.

J) The following rules apply to North Allen Branch Waterfowl

Management Area (Eldon Hazlet State Park) only:

i) Three designated blind sites are available on a first come-

first served basis. Walk-in hunting only is permitted with a

maximum of 4 hunters per site. All hunting must be from

one blind site located between identically numbered stakes.

ii) Hunters must sign in prior to hunting, and sign out and

report their harvest at the end of each day. All hunters

must be checked out by 2:00 p.m. daily, except the last 3

days of the Canada goose season, and during any goose

seasons that may occur after the Canada goose season,

hunters must be checked out by one hour after sunset.

iii) Decoys shall not be left out unattended.

iv) When the lake floods this area and designated blind sites

are not usable for walk-in hunting, the Department, by

public announcement and/or posting, will open the affected

area to hunting from boats per Carlyle Lake Project Lands

and Waters' rules.

6) Chauncey Marsh State Natural Area (2)

7) Clinton Lake State Recreation Area (1) (2)

A) Except as described in subsections (b)(7)(C) and (D), hunting is

allowed only from anchored portable blinds, except that no

waterfowl hunting is permitted in the area extending from a line

between the west side boat ramp and the southern-most point of

the central peninsula to the Davenport Bridge.

B) Waterfowl hunting is also permitted from the shore in designated

walk-in hunting areas on a first-come, first-served basis. Walk-in

or boat hunting only. No more than 4 hunters per party are


18



permitted.

C) Hunting from permanent land-based blinds is permitted only from

Disabled Hunting Program and Salt Creek Waterfowl Management

Area blinds.

D) Each party must hunt over a minimum of 12 decoys. Decoys must

be removed from the sites following each day's hunt. Decoys must

not be left unattended.

E) Except for the Handicap Hunting Program facilities and Salt Creek

Waterfowl Management Area, blinds must be portable or built

from material brought in or available at the blind site. Blinds must

be dismantled and removed at the end of each day's hunt. No trees

or bushes may be cut.

F) There will be no hunting within 200 yards of developed areas or

construction zones and 300 yards of electrical power lines.

G) Hunting within the Salt Creek Waterfowl Management Area will,

on designated days, be available only through a drawing conducted

by the Springfield Permit Office. Procedures for applying for a

permit at the site will be publicly announced.

8) Coffeen Lake State Fish and Wildlife Area

A) Hunters must sign in prior to hunting and sign out, reporting

harvest at the end of each day.

B) Hunting from staked sites only.

C) No permanent blinds.

D) Hunting by boat access only.

E) No cutting vegetation on site.

F) Hunting north of railroad tracks only.


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G) Hunting hours from legal opening to 1 p.m. Fishing allowed

between the railroad tracks and the county road after 1:00 p.m.

H) Four hunters per blind site.

I) No hunting during firearm deer seasons.

J) All hunters must be checked out at sign in box by 2:00 p.m.

9) Copperhead Hollow State Wildlife Area (1) (2)

10) Cypress Pond State Natural Area (1)

Hunters must sign in prior to hunting and sign out reporting harvest at the

end of each day.

11) Deer Pond State Natural Area (1)

Hunters must sign in prior to hunting and sign out reporting harvest at end

of each day.

12) Devil's Island State Fish and Wildlife Area (1)

13) Dog Island State Wildlife Management Area (2)

14) Donnelley State Wildlife Area

A) Hunting is prohibited on Tuesdays and Wednesdays except open

on opening day and on the first Sunday immediately preceding the

first firearm deer season as set forth in 17 Ill. Adm. Code 650.10

except as indicated in Section 590.25.

B) Goose hunting is prohibited after the close of the duck season.

C) All hunting shall be from designated blinds only. Refilling or

changing blinds is not permitted.

D) All hunters must report to the check station to fill out an

information card and turn in hunting licenses or valid photo

identification (example: Firearm Owner's Identification Card,

driver's license) before proceeding to blinds.


18



E) A hunter may bring one or 2 hunting partners under the age of 21.

F) $10 daily usage stamp must be purchased to hunt this area.

Non-hunting partners between 16 and 20 years of age must pay

daily usage stamp fee. Non-hunting partners under 16 are not

required to purchase a daily usage stamp.

G) No outboard motors are allowed by public – only by authorized

DNR personnel.

H) No more than 3 persons shall occupy a blind at any one time.

I) All parties are required to report to check station within one hour

after termination of hunt or no later than 2:00 p.m.

J) All parties must hunt over a minimum of 12 decoys and a

maximum of 48 decoys can be used, which must be removed upon

the termination of the hunt.

K) The first weekend and the third Saturday of the regular duck

season shall be designated as youth hunt days. This shall consist

of youth or youths 15 and under plus one adult per blind. There

shall be no charge for the youth on these days. Those blinds not

allocated to youths shall be available to adults on those days.

L) One blind shall be made available by priority claim to "disabled"

persons (as defined in Section 2.33 of the Wildlife Code).

15) Fort de Chartres State Historic Site (1)

A) Hunting is allowed from anchored, portable boat blinds only on a

first come-first served basis.

B) Each hunting party is required to hunt over a minimum of 12

decoys which must be removed at the end of each hunting day.

C) No hunting is allowed during firearm deer season.


18



16) Fox Ridge State Park (1) (2)

Hunting restricted to Embarras River and its flood waters.

17) Fox River (1)

A) Waterfowl hunting is prohibited on that portion of the Fox River

running from the Kendall-Kane County line downstream to a line

extending from the intersection of Route 71 and Douglas Street in

Oswego, across the Fox River to the intersection of Hickory Lane

and Riverview Drive.

B) Waterfowl hunting shall be from Department designated sites only

on that portion of the Fox River downstream from the line

extending from the intersection of Route 71 and Douglas Street in

Oswego, across the Fox River to the intersection of Hickory Lane

and Riverview Drive downstream to the Fox River Drive Bridge.

Hunting at the designated sites will be on a first come-first served

basis. Statewide regulations shall be in effect with no other

Sections of this Part being applicable.

18) Fox River – Chain of Lakes (Lake and McHenry Counties) (1)

Waterfowl blind regulations of the Fox Waterway Agency are in full force

and effect on those public waters under their jurisdiction. Failure to

comply with such regulations constitutes a violation of this Section.

19) Freeman Mine State Habitat Area

Hunting regulations will be publicly announced.

20) Heidecke State Fish and Wildlife Area, Braidwood State Fish and Wildlife

Area and Powerton Lake State Fish and Wildlife Area

A) Blind sites shall be allocated on a daily draw basis conducted at the

check stations 60 minutes before hunting time. Hunters shall

register as parties for the drawing; each party drawn shall be

allowed to select blind site in order drawn; only those hunters

registered in party shall be allowed to hunt with their party; no

more than 3 hunters per party; persons under the age of 16 shall

not be allowed to hunt unless accompanied by an adult.


18



B) Blind sites not selected during the drawing shall be allocated on a

first come-first served basis. Vacant blind sites shall not be

allocated after the drawing until one hour after legal hunting time.

No blind sites shall be allocated after 10:00 a.m. Hunters wishing

to move to another blind site must report this move to the check

station attendant in person before such a move.

C) Access to water blind sites must be by boat only and from

designated boat launch sites.

D) All hunting must be from portable boat blinds, within 10 yards of

the assigned numbered stake or buoy. No more than 3 persons

shall use one blind.

E) Upon vacating blind sites, all hunters must report to the check

station within one hour. At this time, waterfowl bagged must be

checked in and displayed to the station operator and hunting

licenses returned.


decoys. Decoys must be picked up immediately after the hunt is

over.

G) Heidecke Lake and Braidwood Lake shall be closed to all fishing

and boat traffic except for legal waterfowl hunters from 10 days

prior to regular duck season until the close of the regular duck and

Canada goose season. Powerton Lake shall be closed to boat

traffic from 7 days prior to opening of regular duck season until

February 15, except for legal waterfowl hunters, and closed to all

unauthorized entry during the regular duck season.

H) No hunting on Monday and Tuesday at Heidecke and Braidwood

Lakes. No hunting at Powerton Lake on Monday through

Thursday except hunting permitted on State holidays.

I) It is unlawful to hunt waterfowl on the water area in any watercraft

less than 16 feet long and 60 inches in beam and without a gas-

powered motor.


18



J) No guns may be carried from water blinds to retrieve waterfowl

that fall on land.

K) Hunting is closed on Christmas Day and New Year's Day.

L) All water areas not posted with blind site numbers shall be refuge

and are closed to all boat traffic except by authorized personnel.

M) It is unlawful to shoot across any dike.

N) Waterfowl hunting shall close with the conclusion of the duck

season at Powerton Lake. At Heidecke and Braidwood Lakes,

waterfowl hunting closes at the end of duck or goose season,

whichever is later. No goose hunting is allowed prior to duck

season.

21) Henderson Creek State Fish and Wildlife Area (2)

22) Hidden Springs State Forest (hunting restricted to Richland Creek and its

floodwaters) (1) (2)

23) Horseshoe Lake (Alexander County) Public Hunting Area

A) Closed to waterfowl hunting on Mondays and Tuesdays.

B) When duck season is closed, goose hunters may not possess more

than 5 shot shells for every Canada goose allowed in the daily bag

limit.

24) Horseshoe Lake Refuge

No hunting allowed, no boat motors except trolling motors will be allowed

on Horseshoe Lake from October 15 to March 1.

25) Horseshoe Lake State Park (Madison County) – Gabaret, Mosenthein,

Chouteau Island Unit

Site permit required.

26) Jim Edgar Panther Creek State Fish and Wildlife Area


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A) Waterfowl hunting on Prairie Lake will be allowed on Wednesdays

and Saturdays beginning the opening day of the controlled

pheasant hunting season until the close of the controlled pheasant

hunting season.

B) Staked hunting sites shall be allocated on a daily draw basis

conducted at 5:00 a.m. at the site office. Hunters shall register as

parties for the drawing; each party drawn shall be allowed to select

a hunt stake in order drawn; only those hunters registered in the

party shall be allowed to hunt with the party; no more than 4

hunters per party; persons under the age of 16 shall not be allowed

to hunt unless accompanied by an adult.

C) Hunting hours will be legal opening shooting hours for Jim Edgar

Panther Creek's respective Illinois waterfowl zone to 12:00 p.m.

D) Access to water hunt stakes must be by boat only and from

designated boat launch sites.

E) Upon vacating hunt stakes, all hunters must report to the site office

within one hour to sign out and report harvest.


decoys. Decoys must be picked up immediately after the hunt is

over.

G) Hunting shall take place from boats anchored within 10 yards of

Department assigned hunt stakes only. Hunters must occupy hunt

stakes within one hour after registering at the check station. No

guns may be carried from hunt stakes to retrieve waterfowl that fall

on land.

H) Hunting is closed Christmas Day (December 25).

I) Hunting parties may move to unoccupied hunting stakes after

10:00 a.m. Hunting location moves need to be recorded when

hunters check out after the hunt.


18



J) When it is deemed necessary, the Department shall remove, move

or close hunt stakes in order to carry out the operations of the

overall management program.

27) Kaskaskia River State Fish and Wildlife Area (1)

The last 3 days of both the duck season and the regular Canada goose

season.

A) No waterfowl hunters may remain in the area after 3:00 p.m. For

those lands lying south of Illinois Route 154 and north of Illinois

Route 13, the legal hunting hours shall be from statewide opening

hour until statewide closing hour.

B) All waterfowl hunting parties must use at least 12 decoys. Hunting

is allowed on a first come-first served basis.

C) It is unlawful to leave duck and goose decoys unattended. Decoys

must be picked up at the end of each day's hunt.

D) All waterfowl hunters must register prior to hunting each day of

the waterfowl season at the nearest check station, and must sign

out and record their harvest daily before they exit the area.

E) The following regulations apply to the Doza Creek Waterfowl

Management Area:

i) No waterfowl hunters may enter the area before 4:30 a.m.

each day of the waterfowl hunting season. No waterfowl

hunters may remain in the area after 3:00 p.m.

ii) Only waterfowl, coot, archery deer and fall archery turkey

hunting (as provided by 17 Ill. Adm. Code 670 and 720)

allowed in this area during the duck hunting season.

iii) For the first 4 days of the duck season, all waterfowl

hunting must occur within 10 yards of an assigned,

numbered stake. Staked hunting locations shall be allocated

on a daily draw basis at the Highway 154 Boat Ramp at

4:00 a.m. Hunters shall register as parties for the drawing;


18



each party drawn shall be allowed to select a staked

location in order drawn; only those hunters registered in a

party shall be allowed to hunt with their party; no less than

2 hunters and no more than 4 hunters per party; moving

from staked location to staked location is not allowed.

Staked locations not allocated during the drawing will not

be hunted that day. Starting on day 5 and for the remainder

of the waterfowl season, hunting is allowed on a first come-

first served basis and hunting need not occur by a stake.

Waterfowl hunters must maintain a distance of 200 yards

between hunting parties.

iv) Electric trolling motors only may be used. All other motors

must be removed or made inoperable.

F) Handicapped accessible waterfowl hunting blind (Dry Lake Access

Area)

i) Application for hunting dates should be received at the site

office September 1-10 and will be allocated on a first

request basis or via a drawing, if needed.

ii) Three hunters are allowed in the blind. At least one hunter

must have a P-2 handicapped certification.

iii) Hunters must sign in/out and report harvest at check station

after hunting.

28) Kickapoo State Recreation Area (2)

A) Hunting permitted only within 10 yards offrom staked sites.

B) Hunters must register and hunt inas parties of no. No more than 4

hunters per party are permitted. No non-hunting partners.

C) Hunters must sign in, sign out, and report harvestEach hunting

party must hunt over a minimum of 12 decoys.

D) Waterfowl hunting is permitted only during the first 7 weekdays of


18



the November portion of the Central Zone Canada goose season.

E) Hunting from staked sites only. Hunting must be within 10 feet of

the staked location. All hunting must be from one portable blind

or one anchored boat blind. Electric motors only for all boats.

F) Blind material must be brought in and taken out each day. No

vegetation may be cut at the site.

DG) Hunting hours are from legal opening to 1:00 p.m. during regular

Illinois duck hunting season and statewide hours from the day after

duck season closes until Canada goose season closes in the

waterfowl hunting zone in which the site is located. Hunters must

be out of the field by 2:00 p.m.

H) Hunters wishing to move to another vacant blind location may do

so on a first come-first served basis, provided they include the

blind change on the harvest card and report their harvest for each

blind.

29) Kinkaid Lake State Fish and Wildlife Area (1)

30) Lake Calumet and entrance channel to Calumet River (1)

3130) Lake Michigan (1)

3231) Mermet Lake State Fish and Wildlife Area

A) No fishing on the area during duck season.

B) Hunting hours are from legal opening until 1:00 p.m. each day,

except the last 3 days of duck season, when hunting shall be

allowed until sunset.

C) Manned check station will be closed Christmas Day and every

Sunday and Monday during regular duck hunting season. Walk-in

hunting will be allowed on Sundays and Mondays.

D) Blind/pool sites shall be allocated on a daily drawing basis at the


18



manned waterfowl check station 90 minutes before legal hunting

time (except Sunday and Monday when the manned check station

is closed). One additional drawing will be held at the manned

check station at 9 a.m. for any unoccupied waterfowl blinds/pools.

E) Hunters shall register as a party/group of up to 4 hunters for the

drawing (except on the statewide youth waterfowl hunting day, as

authorized in 17 Ill. Adm. Code 685.110(c) when 5 people may

occupy a blind/pool at one time if the party includes 2 youth

hunters); each party/group drawn shall be allowed to select a

blind/pool in the order drawn; only those hunters registered in that

party/group shall be allowed to hunt with the party.

F) Upon allocation of blinds/pools, all hunting parties/hunters must

accept and hunt the blind/pool chosen, or reject the allocation of

the blind/pool immediately. All those rejecting the allocation of a

blind/pool shall be ineligible to hunt within the blind/pool area for

the remainder of that day. Individual hunters, or hunting parties,

can only be allocated one blind/pool per day.

G) Hunters must occupy their blinds/hunting area within one hour

after registering at the manned check station.

H) Waterfowl hunters must have their waterfowl hunting tag filled out

with the date and blind/stake number or hunting location. The card

must be in possession of the hunter while hunting. All waterfowl

harvested must be reported on the waterfowl hunting tag and

returned daily to the drop box at the hunter check station no later

than 2:00 p.m.

I) All hunters must park in designated areas only. All areas are

marked with corresponding numbers or area designations. Only

one vehicle per hunting party will be allowed, unless approval is

granted by check station operator.

J) Within the blind/pool area, a minimum of 12 decoys per hunting

party are required while hunting waterfowl. No decoys are

required within the walk-in areas. All decoys must be removed

from the area at the end of the day's hunt.


18



K) A 25 shotgun shell limit per hunter, per day, applies on this area.

It is unlawful for a hunter to have in his or her possession more

than 25 shotgun shells while on the site.

L) Hunting must be from allocated blind (or within 10 yards of blind)

or pool location. Hunters may hunt other designated waterfowl

hunting areas that do not have blinds or pools; however, they must

maintain a minimum distance of 200 yards from the nearest

blind/pool or other hunting parties.

M) Attempts to claim a blind/pool by any manner other than actual

occupation shall be considered in violation of this Part and shall be

cause for arrest. Insertion of a boat into a boat hide and/or the

spread of decoys before a blind/pool shall not be considered legal

occupation of a blind/pool.

N) Due to safety factors, persons under 16 years of age shall not hunt,

or attempt to hunt, unless accompanied by a parent, legal guardian,

or person designated by the parent or guardian who is 18 years of

age or older.

O) Claiming or attempting to claim any blind/pool that is legally

occupied and/or harassing, in any manner, the occupants of a

blind/pool that is legally occupied is unlawful.

P) Boats without motors may be used within the walk-in areas.

33) Middle Fork State Fish and Wildlife Area (2)

A) Hunting is restricted to the Vermilion River and its flood waters.

B) Hunters must hunt in parties of no more than 4 hunters per party.

C) Hunters must sign in, sign out, and report harvest.

D) Hunting hours are from legal opening to 1:00 p.m. during regular

Illinois duck hunting season and statewide hours from the day after

the duck season closes until the Canada goose season closes in the


18



waterfowl hunting zone in which the site is located.

3432) Newton Lake State Fish and Wildlife Area

A) Blind sites shall be allocated by a daily drawing to be conducted at

4:30 a.m. Blind sites not selected during the drawing (or in the

event that personnel are not available to conduct drawing) shall be

allocated on a first come-first served basis until one hour before

shooting time; and then after 9:00 a.m. All hunters must register

before entering the hunting area. Hunting hours end at 1:00 p.m.;

all hunters must be off the water or out of the field by 2:30 p.m.

daily.

B) Upon vacating their blinds, all hunters must place their completed

harvest cards in the collection box located at the boat ramp or site

headquarters.

C) There will be duly posted waterfowl refuges. These areas shall be

closed to all boat traffic and boat fishing during the waterfowl

season.

D) No more than 4 persons shall occupy a blind at one time.

E) The west arm of the lake shall be closed to all waterfowl hunting.

F) Blind sites shall be determined by the Department of Natural

Resources and marked with numbered stakes. When it is deemed

necessary, the Department shall remove, move or close blind sites

in order to carry out the operations of the overall management

program.

G) Hunters wishing to move to another vacant blind location may do

so on a first come-first served basis, providing they include the

blind change on the harvest card and report their kill for each

blind. If hunters do not occupy the stake they have drawn by legal

shooting time, they forfeit the right to the staked hunting location.

H) Access to water blind sites shall be by boat only and from the east

side boat ramps. Access to land sites shall be by walk-in only and


18



from nearby hunter parking lots. No parking is allowed along

county roads.

I) All water hunting must be from one portable blind or one anchored

portable boat blind located between the assigned numbered stakes,

no more than 10 yards from shore. All land hunting must be done

from a position within 50 feet of the assigned numbered stake.

J) Crippled waterfowl that fall on land, other than areas designated as

refuge, shall be retrieved by foot. However, no gun may be carried

while attempting to recover such birds.

K) Blind site water: A position between 2 like numbered stakes

where a blind may be located. Blind site land: A position within

50 feet of numbered stakes where a hunter may set up or a

temporary blind may be located.

L) Fishing shall be prohibited in the east arm of the lake during the

waterfowl season.

M) Each party must hunt over a minimum of 12 decoys, and all decoys

must be removed at the end of each day's hunt.

N) When it is deemed necessary for public safety reasons, such as

flooding, high winds, or heavy fog, the Department will close the

lake area to all fishing and all boating activity except for non-water

hunting programs.

O) This site is closed to all users except firearm deer hunters during

the firearms deer seasons.

P) During the last 3 days of Canada Goose season, hunting hours shall


3533) Oakford State Conservation Area (2)

3634) Pyramid State Park – Captain Unit (2)


18



A) Hunting hours are from legal opening to 1:00 p.m.; hunters must



decoys; all decoys must be picked up at the end of each day's hunt.

C) Hunters participating in daily lottery must register as a group not to

exceed 4 hunter names per card. Waterfowl hunters not hunting at

a staked site allocated through daily lottery may not exceed 4

hunters per party. All hunters must register as a group not to

exceed 4 names per card. A hunter's name may only appear on one

lottery card.

D) Blind sites will be allocated by daily drawing during duck season

only at the Galum Unit Office beginning at 4:30 a.m. in November,

5:00 a.m. in December and 5:30 a.m. in January. All hunting must

occur within 10 yards of an assigned, numbered stake, except for

stakes identified at the check station where hunters may hunt from

any place in the wetland in which the stake is located. There will

be no moving to staked locations after initial drawing.

E) Successful participants must have their lottery card stamped with

the date and blind number. The card must be in the possession of

the hunter or group while hunting. Waterfowl harvested must be

reported on blind selection card and returned daily to a hunter

check station box.

F) Waterfowl hunters not participating in daily draw must report their

harvest on site hunting permit by February 15.

G) Waterfowl hunters not participating in the daily lottery for staked

sites may not access Pyramid State Park property until 4:30 a.m. in

November, 5:00 a.m. in December and 5:30 a.m. in January.

H) Waterfowl hunters may not hunt on main lakes other than staked

locations. Hunters may hunt crop fields and wetlands that have not

been staked; however, they must be a minimum of 200 yards from

the nearest staked location or another hunter.


18



I) No waterfowl hunting is allowed within 200 yards of the Captain

Unit Waterfowl Rest Area or within 100 yards of any private

property boundary.

J) The land and water portion of the Captain Unit Waterfowl Rest

Area is closed to all entry from October 28 through February 28.

The location of the Captain Unit Waterfowl Rest Area is described

as follows: All land and water west of Panda Bear Road north to

Northern Haul Road, then south on Beltline Road to Western Haul

Road, then east on Pyatt-Cutler Road.

K) After duck season is closed and during the Canada goose hunting

season, hunters may not possess more than 5 shot shells for every

Canada goose allowed in the daily bag.

L) The area is closed to waterfowl hunting on Mondays and

December 25.

3735) Pyramid State Park – Denmark Unit (2)








hunters per party.


only at the Galum Unit office beginning at 4:30 a.m. in November,







18







check station box.










I) No waterfowl hunting within 200 yards of Denmark Unit

Waterfowl Rest Area and 100 yards of any private property

boundary.

J) The land and water portion of the Denmark Unit Waterfowl Rest

Area is closed to all entry from October 28 through February 28.

The location of the Denmark Unit Waterfowl Rest Area is

described as follows: All land and water east of field DM 72

following Pipestone Creek, north and then east along Seven Island

Trust Property Boundary, then east to Eastern Haul Road, then

north to Pyatt-Cutler Road.

K) After duck season is closed and during the Canada goose hunting



L) The area is closed to waterfowl hunting on Mondays and

December 25.

3836) Pyramid State Park – East Conant Unit (2)


18







C) No more than 4 hunters to a party.

D) No waterfowl hunting within 100 yards from any private property

boundary.

E) After duck season is closed and during the Canada goose hunting



F) Waterfowl hunters may not access Pyramid State Park property

until 4:30 a.m. in November, 5:00 a.m. in December and 5:30 a.m.

in January.

G) Hunters may hunt crop fields and wetlands; however, they must be

a minimum of 200 yards from the nearest staked location or

another hunter.

H) The area is closed to waterfowl hunting on Mondays and

December 25.

3937) Pyramid State Park – Galum Unit (2)








hunters per party.


18




only at the Galum Unit Office beginning at 4:30 a.m. in November,










check station box.










I) No waterfowl hunting within 100 yards of any private property

boundary.

J) After duck season is closed and during the Canada goose hunting



K) The area is closed to waterfowl hunting on Mondays and

December 25.

4038) Ray Norbut State Fish and Wildlife Area (1) (2)

4139) Rend Lake Project Lands and Waters


18



A) All waterfowl hunters and all boats must be out of the Casey Fork

and Big Muddy subimpoundments by 2:00 p.m. each day of the

waterfowl season and not return until 4:30 a.m., except during the

last 3 days of the Canada goose season, hunters must be out of the

areas by one hour after sunset and not return until 4:30 a.m.

B) No hunting permitted from the subimpoundment dams.

C) While waterfowl hunting, no one may have in his/her possession

any tool or device designed to cut brush or limbs, except common

hunting knives and pocket knives.

D) No waterfowl hunting permitted within 200 yards of the refuge

boundary, or within 100 yards of any private property boundary.

E) All boat traffic is prohibited from entering the subimpoundments

from the closing of youth waterfowl season until opening day of

regular waterfowl season.

F) All waterfowl hunters must sign in prior to hunting and sign out

and report their harvest at the end of each day's hunt.

G) Air boats will not be allowed in the Casey Fork

subimpoundmentSubimpoundment, the Big Muddy

subimpoundmentsubimoundment, and the impoundments on Corps

of Engineers' managed areas such as Atchison Creek, Gun Creek

and Rend City Wetland during the regular duck, youth waterfowl

and Canada goose seasons. When ice conditions do not allow

access at boat ramps by normal watercraft, then air boats can be

used in the Casey Fork and Big Muddy

subimpoundmentsubimoundment.

H) Permanent blinds at the Whistling Wings Access Area shall be

regulated as follows:

i) During goose season, a separate drawing will be held for

the pits at Whistling Wings. This drawing will be held at

the Cottonwood check station following the drawing for


18



staked hunting sites. Hunters may not register for more

than one drawing per day. Unsuccessful hunters in the

drawing for Whistling Wings pits may select any

unclaimed staked location after the drawings.

ii) Hunters who wish to hunt together must register as a

hunting party and be present at the drawing.

iii) All hunters must have the registration card from the check

station in their possession while hunting.

iv) Hunting parties can only hunt from the pit location that

they chose in that day's drawing. No moving to or hunting

from any other pit location is allowed.

v) No more than 6 dozen decoys may be used per pit.

vi) No more than 4 hunters will be allowed in a pit or hunting

party.

I) Each hunting party is required to hunt over a minimum of 12

decoys at each blind site, and all decoys must be picked up at the

end of each day's hunt.

J) During the last 3 days of Canada goose season, hunting hours shall


K) The land and water portion of the Rend Lake Refuge is closed to

trespassing during waterfowl season. The location of the Rend

Lake Refuge is described as follows:

i) Bounded on the south by a buoy line, approximating the

Jefferson-Franklin County Line.

ii) Bounded on the east by a buoy line and/or signs

approximating the channel of the Casey Fork Creek.

iii) Bounded on the west by a buoy line and/or signs

approximating the channel of the Big Muddy River.


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iv) Bounded on the north portion of the Big Muddy River by a

buoy line and/or signs approximating a line which would

extend west from Ina, Illinois.

v) Bounded on the north portion of the Casey Fork Creek by

the Casey Fork Subimpoundment Dam.

vi) Bounded on Nason Point by refuge boundary signs at

project limits.

L) After the close of regular duck season, goose hunters may not

possess more than 5 shot shells for every Canada and white-front

goose allowed in the daily bag limit.

M) Staked Hunting Areas – Those areas designated as a staked hunting

area will be publicly announced and the following regulations will

apply:

i) All hunting must occur within 10 yards of an assigned,

numbered stake except for stakes identified at the check

station where hunters may hunt from any place in the field

in which the stake is located.

ii) Stakes will be assigned via a daily drawing held at 4:00

a.m. during November, 4:30 a.m. in December and 5:00

a.m. in January.

iii) Check station at the Bonnie Dam Access Area will be

operated on a daily basis through the second weekend of

the waterfowl season. Thereafter, Bonnie Dam check

station will only be open on weekends and holidays as

posted at the check station. Cottonwood Access Area will

be operated on a daily basis throughout the waterfowl

season for both Bonnie Dam and Cottonwood Hunting

Areas. Hunters who wish to hunt together at a staked

location must register as a hunting party and be present for

the drawing. Only those persons in that party may hunt at

the assigned stake. No more than 5 persons shall be in a


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hunting party.

iv) All hunters must register at the check station. Hunters

arriving at the check station after the initial draw will have

the opportunity to select any stakes that are still available

up to one hour before legal shooting time. Hunters may

enter the subimpoundment up to ½ hour before legal

shooting time or between 9:00 a.m. and 9:30 a.m.

v) Hunting parties can only hunt from the staked hunting

location that they chose in that day's drawing. No moving

to or hunting from any other staked hunting location is

allowed. Once a staked hunting location is killed out, no

other hunting party may hunt from that stake for the

remainder of that day.

vi) When hunting parties have killed their legal daily bag limit

of ducks (not including coots and mergansers) and/or

Canada geese in respect to the legal hunting season dates

they must vacate the hunting site.

vii) Hunters must sign in and out and report their harvest on the

cards at the access area where they launch.

4240) Saline County State Conservation Area (1) (2)

A) Waterfowl hunting is allowed north of the township road only.

B) Walk-in hunting only.

4341) Sam Dale Lake State Fish and Wildlife Area (1) (2)

4442) Sand Ridge State Forest (Sparks Pond Land and Water Reserve) (2)

A) Hunting is permitted on Tuesdays and Saturdays during the duck

season.

B) Two hunters are allowed per blind. At least one hunter must have

a P2a handicapped certification (see Section 590.40(a)(14)).


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C) Hunters must report harvest to site office.

4543) Sanganois State Fish and Wildlife Area

A) Hunters using the main walk-in hunting area from opening day of

the Central Zone duck season through the first Sunday of the

Central Zone duck season must have a permit issued from the site

office. Procedures for issuance of permits will be publicly

announced.

B) Hunters using the walk-in area shall use the check station at the

headquarters area located 8 miles northwest of Chandlerville just

off Route 78 or the check station on the west side of the Illinois

River one mile north of Browning near Route 100.

C) Walk-in waterfowl hunting shall be permitted only in the area

posted for this purpose.

D) All hunters using a walk-in area must report to the check station to

fill out information cards and to turn in hunting licenses or valid

photo identification (example: Firearm Owner's Identification

Card, driver's license) before proceeding to area.

E) Topper's Hole is a walk-in area accessed by boat only, no check-in,

check-out, no permanent blinds, hunting parties must stay at least

200 yards apart, hunting parties shall hunt over no less than 12

decoys, daily hunting hours are legal shooting hours through 1:00

p.m. CST.

F) The Baker tract is a lottery-draw walk-in area with 4 separate

hunting compartments. One party of hunters (up to 4 hunters per

party) will be permitted to hunt in each hunting compartment. The

allocation of the 4 Baker tract hunting compartments will be by

drawing the morning of the hunt, 1 hour and 15 minutes prior to

legal shooting hours on Tuesday, Thursday and Saturday of the

Central Zone waterfowl season, except during firearm deer season,

at which time the Baker tract is closed to waterfowl hunting.

Parties must register for the draw together on the same card.


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G) Upon the completion of hunting, hunters must report to the check

station within one hour.

H) Fishing is prohibited in the impoundment areas during the duck

season, except that walk-in only access for fishing from the bank is

permitted after 1:00 p.m.

I) No person shall trespass on the Barkhausen Refuge during the

period from October 1 through end of goose season.

J) No person shall trespass on the Marion-Pickerel Waterfowl Refuge

during the period from October 1 through the last day of the

waterfowl season, unless prior permission for a specific reason

(such as access to private land or to retrieve dead or wounded

game) is granted by the site superintendent.

K) When the Central Zone goose season extends beyond the duck

season, goose hunting shall be permitted with statewide hunting

hours in effect. Hunters need not occupy a blind. All hunting

must be conducted within non-refuge areas.

L) No hunting permitted from the walk-in area subimpoundment

levee.

M) Hunters may use boats without motors in the walk-in area; the

construction and/or use of permanent blinds in the walk-in area is

prohibited.

4644) Sangchris Lake State Park

A) During the last 3 days of the regularly scheduled Canada goose

season, hunting hours will close at statewide closing.

B) Blind sites shall be allocated by a daily drawing to be conducted 90

minutes prior to hunting time. Blind sites not selected during the

drawing (or in the event that personnel are not available to conduct

the drawing) shall be allocated on a first come-first served basis.

(During that portion of the Canada goose season which follows the


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duck season, the west side goose pit area, the west arm blind sites

and east arm blind sites south of power lines shall be available for

goose hunting and shall be allocated on a daily drawing basis to be

held at 5:30 a.m. daily.)

C) During that portion of the light goose season which follows the

regular Canada goose season, the west-side goose pit area blinds,

and designated fields west of the west boat ramp shall be available

daily on a first come-first served basis. Hunters must sign in at the

appropriate parking area no earlier than 5 a.m.

D) All hunting must be from registered blind sites only and hunters

must occupy their blinds within one hour after registering at the

check station.

E) Upon vacating their blinds, hunters must place their completed

harvest cards in the collection boxes located at either the east or

west boatdock.

F) There will be a duly posted waterfowl refuge. These areas shall be

closed to all boat traffic (except as allowed in subsection

(b)(4645)(K)) and boat fishing during the waterfowl season. Bank

fishing along the dam shall be permitted.

G) No more than 4 persons shall occupy a blind at one time.

H) The center arm of the lake shall be closed to all waterfowl hunting.

I) Blind sites shall be determined by the Department of Natural

Resources and marked with a numbered stake. When it is deemed

necessary, the Department of Natural Resources shall remove,

move or close blind sites in order to carry out the operations of the

overall management program.

J) Hunters wishing to move to another blind location may do so after

10 a.m. providing they include the blind change on the harvest card

and report their kill for each blind.

K) Access to water blind sites shall be by boat only and from


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designated boat launch sites. Corridors located along the edges of

the existing refuge will be established to provide access to all

available blind sites as designated by site superintendent when

conditions warrant.

L) All hunting must be from one portable blind or one anchored

portable boat blind located within a numbered cove and between

the assigned numbered stakes or from one Department designated

blind or pit.

M) Crippled waterfowl that fall on land, other than areas designated as

refuge, shall be retrieved by foot. However, no gun may be carried

while attempting to recover such birds.

N) No unauthorized pits or blinds shall be built on State managed

land.

O) Blind sites: A position between 2 like numbered stakes within a

cove or other Department designated site where a blind may be

located.

P) Fishing shall be prohibited in the east and west arms of the lake

during the period from 10 days prior to the duck season through

the end of the duck season, unless the youth waterfowl hunt is

more than 10 days before the regular duck season, then the east

and west arms will be closed to accommodate the youth waterfowl

hunt. Fishing shall be prohibited in the west arm of the lake and

the east arm of the lake south of the power lines during that portion

of the Canada goose season that follows the duck season.

Q) Each party must hunt over a minimum of 12 decoys, and all decoys

must be removed at the end of each day's hunt.

R) When it is deemed necessary for public safety reasons, such as

flooding, high winds, or heavy fog, the Department of Natural

Resources will close the lake area to all fishing and all boating

activity except for non-water hunting programs.

S) During flood conditions, waterfowl hunters may hunt the tailwaters


18



of Sangchris Lake dam including Clear Creek and the South Fork

of the Sangamon River. Decoys must be removed at the end of

each day's hunt.

T) West-side goose pit area blinds will be available every day each

week except Tuesday and Wednesday, through the regular Canada

goose season, except for the Tuesday and Wednesday preceding

the last day of the Canada goose season.

U) Hunters in the west-side goose pit area may not possess more than

5 shot shells for every Canada goose allowed in the daily bag limit

after the close of the Central Zone duck season.

V) All blinds will be closed during the first day of the second firearm

deer season; hunting hours will be from statewide hunting hours

until 10:00 a.m. the remaining days of the second firearm deer

season.

4745) Shawnee National Forest, Upper and Lower Bluff Lakes

Goose hunting is prohibited at Lower Bluff Lake. Legal entry time is 4:30

a.m. and exit time is 2:00 p.m. for all hunters in flooded management

compartments.

4846) Shawnee National Forest, LaRue Scatters

All hunting must be by walking in or in boats without motors. Legal entry

time is 4:30 a.m. and exit time is 2:00 p.m. for all hunters in flooded

management compartments.

4947) Shawnee National Forest, Oakwood Bottoms (Green Tree Reservoir west

of the Big Muddy levee)

A) All hunting must be by walking into the area.

B) Each hunting party must hunt over a minimum of 12 decoys in

Compartments 19, 20 and 21.

C) No person shall tamper with or attempt to manipulate any of the

gates, pumps or structures in the subimpoundment area.


18



D) Legal entry time is 4:30 a.m. and exit time is 2:00 p.m. for all

hunters in flooded management compartments.

5048) Shelbyville State Fish and Wildlife Area (2)

A) Waterfowl hunting shall be permitted as described in this

subsection (b)(5049) except in duly posted restricted and "No

Hunting" areas.

B) Waterfowl hunting in the Fish Hook, North Dunn, McGee, and

Jonathan Creek Waterfowl Areas shall be allotted by a daily

drawing for the first 2 days of the regular waterfowl season.

Parties must register for drawings between 3:00 a.m. and 4:00 a.m.

Central Standard Time at the check station on those days. Each

party drawn shall be allowed to choose one of the staked sites in

the waterfowl area. Parties must select sites in the order they are

drawn. Maximum party size is 4 persons. In addition, the

following regulations shall apply.

i) All parties must hunt within 10 yards of their assigned

stake.

ii) All parties must be in place by ½ hour before hunting time.

iii) All parties are required to report their harvest by 2:00 p.m.

following each hunt.

C) Hunting in the Jonathan Creek, North Dunn and McGee Waterfowl

Areas shall be restricted to designated, staked sites on a first

come-first served basis except as noted in this subsection

(b)(5049)(C). Hunting in the Fish Hook Area shall be restricted to

designated, staked sites on a first come-first served basis for the

first 14 days of the Illinois Central Zone duck season, except as

noted in this subsection (b)(5049)(C). A hunting party must hunt

within 10 yards of the stake.

D) Each hunting party in the Fish Hook, Dunn, Jonathan Creek and

McGee Waterfowl Areas is required to hunt over a minimum of 12

decoys.


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E) Motors of over 10 horsepower shall not be operated in the Fish

Hook, Jonathan Creek, Dunn and McGee Waterfowl Areas.

F) Waterfowl hunting only is permitted in the Fish Hook, Dunn,

Jonathan Creek and McGee Waterfowl Areas during the regular

waterfowl season, except that pheasant, rabbit and quail hunting is

permitted after 1:00 p.m. daily beginning the day after the close of

the Central Zone Duck Season.

G) During the regular waterfowl season, only licensed waterfowl

hunters with valid site waterfowl permits who are in the pursuit of

waterfowl are permitted on the Kaskaskia River from the

Strickland Boat Access north to the Illinois Central Railroad bridge

from ½ hour before sunrise until 1:00 p.m.

5149) Sielbeck Forest State Natural Area (1) (2)

5250) Stephen A. Forbes State Recreation Area

A) On the main lake hunting is allowed from a boat blind only in the

designated areas.

B) Only walk-in hunting is allowed in the subimpoundment.

C) Hunting shall be allowed on a first-come, first-served basis. All

hunters must use 12 decoys, minimum.

D) Hunters must sign in and out and report harvest.

5351) Ten Mile Creek State Fish and Wildlife Area (1) (2)

A) Each hunting party is required to hunt over a minimum of 12

decoys at each blind site, and all decoys must be picked up at the

end of each day's hunt.

B) Areas designated as Rest Areas are closed to all access during the

Canada Goose Season only.


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5452) Turkey Bluffs State Fish and Wildlife Area (1)

All hunters must sign in and out and report kill.

5553) Union County State Fish and Wildlife Area (Firing Line Waterfowl

Management Area)

A) Blind sites shall be allocated on a daily draw basis at the site shop

building 60 minutes prior to hunting time. Hunters shall register as

parties for the drawing; each party drawn shall be allowed to select

a blind site in order drawn; only those hunters registered in a party

shall be allowed to hunt with their party; no less than 2 hunters and

no more than 4 hunters per party; persons under the age of 16 shall

not be allowed to hunt unless accompanied by an adult.

B) Blinds not allocated during the drawing will not be hunted that

day. Moving from blind to blind is not allowed.

C) Access to blind sites is from Clear Creek Levee only.

D) Each hunting party must hunt over a minimum of 12 decoys.

Decoys must be picked up immediately after the hunt is over.

E) Hunting hours end at 1:00 p.m. and all hunters must be out of the

area by 2:00 p.m. Daily entry into the area is restricted until after

the drawing for hunting sites.

F) When duck season is closed, hunters may not possess more than 5

shot shells for every Canada goose allowed in the daily bag limit.

5654) Weinberg-King State Park – Spunky Bottoms Unit (1) (2)

5755) Wise Ridge State Natural Area (1)


Section 590.80 Early and Late Goose (all species) Hunting Regulations on Department

Sites

a) During goose hunting seasons that begin before or extend beyond the regular duck


18



season, statewide regulations and site specific regulations for goose hunting, as

indicated in Sections 590.40, 590.50 and 590.60, shall apply to all sites (except

those closed in subsections (c), (d), (e) and (f)) with the following exceptions:

1) Check in and check out (or sign in and out) is required only at sites with

an asterisk (*). Sites that require use of windshield cards by hunters as


2) No fees will be charged for hunting for seasons before duck season or for

seasons after the regular Canada goose season.

3) No sites are closed to fishing during seasons before the regular duck

season or for seasons after the regular Canada goose season.

4) Hunting from a completed blind or staked site is waived during seasons

held before the regular duck season or for seasons held after the regular

Canada goose season at sites marked with an @.

5) Hunting from a staked site (blind need not be completed) is required

during seasons held before the regular duck season at sites marked with a

#.

6) During goose seasons held prior to regular duck season, no hunting is

allowed in designated dove management fields or within 100 yards of such

fields.

7) During goose seasons held after the Canada goose season all restrictions

regarding the use of decoys or the number of shotgun shells that hunters

can possess are no longer in force.

8) During goose seasons held after Canada goose season, statewide hunting

hours apply.

b) The following sites will be open to all goose hunting seasons:

Cache River State Natural Area *

Carlyle Lake Project Lands and Waters, including North Allen Branch Waterfowl

Management Area *


18



Chain O'Lakes State Park #

Chauncey Marsh State Natural Area (permit required, available at Red Hills State

Park) (2)

Clinton Lake State Recreational Area – early season goose hunting in waterfowl

hunting areas east of Parnell Bridge and North of Route 54 only. Any goose

hunting seasons after the regular Canada goose seasons will close March 15. (2)

Des Plaines State Conservation Area (2) #

Devil's Island State Fish and Wildlife Area

Dog Island State Wildlife Management Area (2) *

Embarras River Bottoms State Habitat Area (2)

Fort de Chartres State Historic Site

Horseshoe Lake State Park (Madison County) (blind builders or partners must

occupy their blinds by 1 hour before opening hunting hour each day in order to

claim their blind for the day; attempts to claim blinds by any manner other than

actual occupation shall be considered in violation of this Part and shall be cause

for arrest; the insertion of a boat into the boat hide and/or the spreading of decoys

before a blind shall not be considered legal occupation of a blind) # *

Kaskaskia River State Fish and Wildlife Area (Baldwin Lake Waterfowl Rest

Area is closed to hunting) *

Kinkaid Lake State Fish and Wildlife Area

Marshall State Fish and Wildlife Area – Sparland and Duck Ranch Units @ (2)

Marshall State Fish and Wildlife Area – Spring Branch and Marshall Units

(hunters must report their harvest via the online windshield card system during

early Canada goose and regular Canada goose season after duck hunting is closed)

* @


18



Meredosia Lake State Fish and Wildlife Area

Mississippi River State Fish and Waterfowl Management Area (Pools 25 and 26)

(no hunting is allowed in the designated Batchtown Waterfowl Rest Area, Crull

Hollow Rest Area and Godar Rest Area; blind builders or partners must occupy

their blinds by ½ hour before opening hunting hour each day in order to claim

their blind for the day; attempts to claim blinds by any manner other than actual

occupation shall be considered in violation of this Part and shall be cause for

arrest; the insertion of a boat into the boat hide and/or the spreading of decoys

before a blind shall not be considered legal occupation of a blind) @

Mississippi River Pools 16, 17, and 18 @

Mississippi River Pools 21, 22, and 24 @

Oakford State Conservation Area (2)

Ray Norbut State Fish and Wildlife Area * (2)

Rend Lake Project Lands and Waters (waterfowl hunters must maintain a distance

of 200 yards between hunting parties) @

Saline County State Conservation Area * (2)

Sanganois State Fish and Wildlife Area * @

Shawnee Forest, LaRue Scatters

Shawnee Forest, Oakwood Bottoms

Shawnee Forest, Upper Bluff Lake

Shelbyville State Fish and Wildlife Area (2)

Ten Mile Creek State Fish and Wildlife Area (rest areas open to hunting during

goose season before and after the regular goose season) (2)

Turkey Bluffs State Fish and Wildlife Area *


18



Weinberg-King State Park – Spunky Bottoms Unit *

Woodford State Fish and Wildlife Area * @ (2)

c) The following sites will be open to any goose hunting seasons that occur before

the regular duck season through the end of the regular Canada goose season:

Anderson Lake State Fish and Wildlife Area (closed after regular duck season) *

@

Coffeen Lake State Fish and Wildlife Area (hunting north of County Road N6th

only; no fishing north of County Road N6th during this season) * #

Lake Shelbyville − West Okaw and Kaskaskia State Fish and Wildlife Area (must

have site specific permit)

Rice Lake State Fish and Wildlife Area (season opens with teal season; sunrise

until 1:00 p.m.; closed after regular duck season) * @

Siloam Springs State Park (open prior to regular duck season only; permit issued

through on-site drawing) * #

Starved Rock State Park #

d) The following sites will be open to all goose hunting during any Canada goose

hunting seasons that occur after the regular duck season:

Banner Marsh State Fish and Wildlife Area * @

Braidwood State Fish and Wildlife Area (when duck season is closed, goose

hunters may not possess more than 5 shot shells for every Canada goose allowed

in the daily bag limit) *

Double T State Fish and Wildlife Area (hunters must check in and out at the

self-check box on the site; hunting from stakes or pits only; 4 persons per stake;

hunters cannot check in before 5:00 a.m. the day of the hunt; stakes or pots

allocated on a first come-first served basis) *

Freeman Mine State Habitat Area *


18



Heidecke State Fish and Wildlife Area *

Jim Edgar Panther Creek State Fish and Wildlife Area (Open Unit, West Open

Unit, and Quail Management Unit only)

Kankakee River State Park (2)

Lake DePue State Fish and Wildlife Area *

Lake Sinnissippi State Fish and Wildlife Area

Mermet Lake State Fish and Wildlife Area * @

Newton Lake State Fish and Wildlife Area (2) *

Pekin Lake State Fish and Wildlife Area

Spring Lake State Fish and Wildlife Area (hunting from registered blinds or

within 10 yards of staked blind sites is permitted after the close of the duck

season) *

William W. Powers State Conservation Area

e) The following sites will be open to any goose hunting seasons that occur after the

regular Canada goose hunting season:

Double T State Fish and Wildlife Area (from pits or staked blind sites only) *

Freeman Mine State Habitat Area *

Horseshoe Lake State Conservation Area (controlled hunting and public hunting

areas) * @

Horseshoe Lake State Park (Madison County) – Gabaret, Mosenthein, Chouteau

Island Units (site permit and harvest report required)

Jim Edgar Panther Creek State Fish and Wildlife Area (Open Unit, West Open

Unit, Quail Management Unit only)


18



Peabody River King State Fish and Wildlife Area (East Subunit only; no hunting

on or adjacent to lakes or within 200 yards of roads, developed recreation areas,

public use facilities and construction or industrial sites; hunting is on a first

come-first served basis; no entry before 4:30 a.m.; waterfowl hunters must

maintain a distance of 200 yards between hunting parties; no permanent blinds

allowed; all blinds must be of a portable nature and/or constructed with natural

vegetation at the blind site; no pits can be dug; all materials must be removed or

dismantled at the end of the day's hunt; all waterfowl hunting parties must use at

least 12 decoys that must be attended at all times and must be picked up at the end

of each day's hunt) *

Pyramid State Park – Captain Unit (no hunting in Captain Unit Waterfowl Rest

Area) @ (2)

Pyramid State Park – Denmark Unit (no hunting in Denmark Unit Waterfowl Rest

Area) @ (2)

Pyramid State Park – East Conant Unit (2)

Pyramid State Park – Galum Unit @ (2)

Sangchris Lake State Park *

Stephen A. Forbes State Recreation Area *

Snakeden Hollow State Fish and Wildlife Area (from pits only) *

Union County State Fish and Wildlife Area (Firing Line and Controlled Hunting

Area) * @

f) The following sites will be closed to all goose hunting seasons that occur outside

the regular duck season dates:

Donnelley State Fish and Wildlife Area

Kidd Lake State Natural Area (units west of the railroad tracks only)

Mazonia State Fish and Wildlife Area *


18



Powerton Lake State Fish and Wildlife Area

Redwing Slough/Deer Lake State Natural Area

g) Violation of this Section is a petty offense (see 520 ILCS 5/2.20).



18



1) Heading of the Part: White-Tailed Deer Hunting By Use of Bow and Arrow



670.30 Amendment

670.40 Amendment

670.60 Amendment

4) Statutory Authority: Implementing and authorized by Sections 1.2, 1.3, 1.4, 2.1, 2.2, 2.5,

2.20, 2.24, 2.25, 2.26, 2.33, 3.5 and 3.36 of the Wildlife Code [520 ILCS 5/1.2, 1.3, 1.4,

2.1, 2.2, 2.5, 2.20, 2.24, 2.25, 2.26, 2.33, 3.5 and 3.36].

5) Effective Date of Rule: September 21, 2018



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

the Department of Natural Resources' principal office and is available for public

inspection.

9) Notice of Proposal published in Illinois Register: 42 Ill. Reg. 12526, July 6, 2018


11) Differences between Proposal and Final Version: Grammatical corrections have been

made.





15) Summary and Purpose of Rulemaking: This Part has been amended pursuant to PA 100-

489 in which crossbows are now considered to be "archery equipment" and no longer


18



have special stipulations on use, but may be used whenever other bows are legal. Creates

a "Restricted Archery Zone" in several central Illinois counties in which hunters may

only take antlered-deer during the period of October 1-15.


Javonna Ackerman, Legal Counsel

Department of Natural Resources

One Natural Resources Way


217/557-0126



18



TITLE 17: CONSERVATION

CHAPTER I: DEPARTMENT OF NATURAL RESOURCES

SUBCHAPTER b: FISH AND WILDLIFE

PART 670

WHITE-TAILED DEER HUNTING BY USE OF BOW AND ARROW

Section

670.10 Statewide Open Seasons and Counties

670.20 Statewide Deer Permit Requirements

670.21 Deer Permit Requirements – Landowner/Tenant Permits

670.30 Statewide Legal Bow and Arrow

670.40 Statewide Deer Hunting Rules

670.50 Rejection of Application/Revocation of Permits

670.55 Reporting Harvest

670.60 Regulations at Various Department-Owned or -Managed Sites

AUTHORITY: Implementing and authorized by Sections 1.2, 1.3, 1.4, 2.1, 2.2, 2.5, 2.20, 2.24,

2.25, 2.26, 2.33, 3.5 and 3.36 of the Wildlife Code [520 ILCS 5/1.2, 1.3, 1.4, 2.1, 2.2, 2.5, 2.20,

2.24, 2.25, 2.26, 2.33, 3.5 and 3.36].

SOURCE: Adopted at 5 Ill. Reg. 8888, effective August 25, 1981; codified at 5 Ill. Reg. 10641;


days; emergency expired March 13, 1982; amended at 6 Ill. Reg. 10721, effective August 20,

1982; emergency amendment at 6 Ill. Reg. 15581, effective December 14, 1982, for a maximum

of 150 days; emergency expired May 13, 1983; amended at 7 Ill. Reg. 10790, effective August

24, 1983; amended at 8 Ill. Reg. 19004, effective September 26, 1984; amended at 9 Ill. Reg.

14317, effective September 9, 1985; amended at 10 Ill. Reg. 16658, effective September 22,


effective July 11, 1988; amended at 13 Ill. Reg. 12839, effective July 21, 1989; amended at 14

Ill. Reg. 14787, effective September 4, 1990; amended at 14 Ill. Reg. 19859, effective December

3, 1990; amended at 15 Ill. Reg. 10021, effective June 24, 1991; amended at 15 Ill. Reg. 16691,

effective October 31, 1991; amended at 16 Ill. Reg. 11116, effective June 30, 1992; amended at

17 Ill. Reg. 286, effective December 28, 1992; amended at 17 Ill. Reg. 13452, effective July 30,

1993; amended at 18 Ill. Reg. 5842, effective April 5, 1994; amended at 19 Ill. Reg. 7560,

effective May 26, 1995; amended at 19 Ill. Reg. 15411, effective October 26, 1995; amended at

20 Ill. Reg. 6723, effective May 6, 1996; amended at 21 Ill. Reg. 5561, effective April 19, 1997;

amended at 22 Ill. Reg. 7995, effective April 28, 1998; amended at 23 Ill. Reg. 6829, effective

May 20, 1999; amended at 24 Ill. Reg. 6908, effective April 20, 2000; amended at 25 Ill. Reg.


18



7217, effective May 22, 2001; amended at 25 Ill. Reg. 11471, effective August 14, 2001;


June 23, 2003; amended at 28 Ill. Reg. 9968, effective July 6, 2004; amended at 29 Ill. Reg.

9761, effective June 24, 2005; amended at 30 Ill. Reg. 12196, effective June 28, 2006; amended

at 31 Ill. Reg. 8202, effective May 25, 2007; amended at 32 Ill. Reg. 9337, effective June 13,


effective March 19, 2010; amended at 35 Ill. Reg. 10739, effective June 23, 2011; amended at 36

Ill. Reg. 13450, effective August 10, 2012; amended at 37 Ill. Reg. 14926, effective August 30,


10905, effective July 27, 2015; emergency amendment at 39 Ill. Reg. 13125, effective September

3, 2015, for a maximum of 150 days; amended at 39 Ill. Reg. 14568, effective October 20, 2015;


effective July 20, 2016; amended at 41 Ill. Reg. 8679, effective June 28, 2017; amended at 42 Ill.

Reg. 17610, effective September 21, 2018.

Section 670.30 Statewide Legal Bow and Arrow

a) The only legal hunting devices to take, or attempt to take, deer are:

1) Longbows, recurve bows or compound bows with minimum pull of 30

pounds at some point within a 28-inch draw. Minimum arrow length is 20

inches. Any mechanical device capable of maintaining a drawn or

partially drawn position on a bow without the hunter exerting full string

tension is illegal.

2) Crossbows and bolts as specified in 17 Ill. Adm. Code 760.21., so long as

one or more of the following conditions are met:

A) If the user is a person age 62 and older with a valid photo ID

containing proof of age; or

B) If the user is a disabled person to whom the Department has issued

a permit to use a crossbow as provided by 17 Ill. Adm. Code 760;

or

C) If the date is between the second Monday following the

Thanksgiving holiday through the last day of the archery deer

hunting season (both inclusive) [520 ILCS 5/2.5]; or


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D) If the user possesses a valid Youth Hunting License and archery

deer hunting permit, and remains under the direct supervision of a

parent, grandparent, or guardian who is 21 years of age or older

and who possesses a valid Illinois hunting license and valid

archery deer permit. [520 ILCS 5/2.5a and 3.1-9] Accompaniment

by a parent, grandparent, or guardian shall serve as evidence that

express permission of an adult was granted to obtain the deer

permit.

b) Broadheads must be used for archery deer hunting. Broadheads may have fixed

or expandable cutting surfaces, but they must be a minimum ⅞ inch in diameter

when fully opened. Broadheads with fixed cutting surfaces must be metal or

flint-, chert- or obsidian-knapped; broadheads with expandable cutting surfaces

must be metal. Nothing in this subsection shall be construed to prohibit the

possession of arrows with field tips or blunt tips for the purpose of legally taking

small game or for target practice during the course of the hunt, but those arrows

may not be used in any attempt to take deer.

c) Specifications for legal crossbows and bolts are contained in 17 Ill. Adm. Code

760.

cd) All other hunting devices, including electronic arrow tracking devices utilizing

radio telemetry, are illegal. It is unlawful to carry any firearm or sidearm while

hunting deer with a bow and arrow.

de) Use of an unlawful device is a Class B misdemeanor (see 520 ILCS 5/2.24),

except that unlawful use of a crossbow is a Class A misdemeanor with a

minimum $500 and maximum $5,000 fine, in addition to other statutory penalties

(see 520 ILCS 5/2.33(o)).


Section 670.40 Statewide Deer Hunting Rules

a) The bag limit is one deer per legally authorized either-sex, antlered-only or

antlerless-only permit. All either-sex permits and antlered-only permits are

subject to the following restriction: no hunter, regardless of the quantity or type

of permits in his/her possession, may harvest more than 2 antlered deer during a

year, including the youth, archery, muzzleloader and firearm seasons. For


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purposes of this subsection, deer seasons are considered to be in the same year if

their opening dates fall within the same 12-month period that begins on July 1. A

hunter in possession of an either-sex permit after having harvested 2 antlered deer

during a year, as defined above, may only use the permit to harvest an antlerless

deer. Subject to this restriction, an either-sex permit holder is allowed to take a

deer with or without antlers; and an antlered-only permit holder is allowed to take

only a deer having at least one antler of a length of 3 or more inches. An

antlerless-only permit holder is allowed to take only a deer without antlers or a

deer having antlers less than 3 inches long.

b) The Illinois Restricted Archery Zone shall consist of Champaign, Douglas,

Macon, Moultrie and Piatt Counties. During the period October 1-October 15,

only antlered deer may be harvested in the Restricted Archery Zone, regardless of

permits in possession. An antlered deer is defined as a deer having at least one

antler of a length of 3 or more inches. All restrictions listed in subsection (a) also

apply in the Restricted Archery Zone.

cb) Recipients of any type of Archery Deer Hunting Permit shall record their

signature on the permit prior to hunting and must carry it on their person while

hunting.

dc) The temporary harvest tag shall be attached and properly sealed immediately

upon kill and before the deer is moved, transported or field dressed. No person

shall leave any deer that has been killed without properly attaching the temporary

harvest tag to the deer in the manner prescribed on the permit.

ed) Hunters shall not have in their possession, while in the field during archery deer

season, any deer permit issued to another person (permits are non-transferable).

fe) Permits will not be re-issued in cases involving deer taken which are found to be

diseased or spoiled due to previous injury. Legal disposal of unfit deer taken shall

be the responsibility of the hunter. For those hunters participating in DNR's

Chronic Wasting Disease Surveillance Program, a free permit will be made

available (during either the current year or the subsequent year, at the discretion

of the hunter) if their tested deer is determined to have chronic wasting disease.

gf) Unlawful take or possession of one deer is a Class B misdemeanor (see 520 ILCS

5/2.24); unlawful take or possession of two or more deer in a 90-day period is a

Class 4 felony (see 520 ILCS 5/2.36a); unlawful take or possession of 2 or more


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deer as a single act or single course of conduct is a Class 3 felony (see 520 ILCS

5/2.36a); and any other violation of this Section is a Class B misdemeanor (see

520 ILCS 5/2.24).


Section 670.60 Regulations at Various Department-Owned or -Managed Sites

a) All the regulations in 17 Ill. Adm. Code 510 (General Hunting and Trapping)

apply in this Section, unless this Section is more restrictive.

b) It is unlawful to drive deer, or participate in a deer drive, on all Department-

owned or -managed properties. A deer drive is defined as a deliberate action by

one or more persons (whether armed or unarmed) whose intent is to cause deer to

move within archery range of one or more participating hunters.

c) Only one tree stand or ground blind is allowed per deer permit holder. Tree

stands and ground blinds must comply with restrictions listed in 17 Ill. Adm.

Code 510.10(c)(3) and (c)(12) and must be portable. Tree stands and ground

blinds must be removed at the end of each day with the exception that they may

be left unattended from September 15 through January 31 at those sites listed in

this Section that are followed by a (1). Any tree stand or ground blind left

unattended must be legibly marked with the owner's name, address, and telephone

number, or site assigned identification number.

d) Check-in, check-out, and reporting of harvest is required at those sites listed in

this Section that are followed by a (2). Sites that require use of windshield cards

by hunters as specified in 17 Ill. Adm. Code 510.10 are followed by a (6).

e) Where standby hunters are used to fill quotas, a drawing will be held at sites

indicated by a (3).

f) Only antlerless deer or antlered deer having at least four points on one side may

be harvested at those sites listed in this Section that are followed by a (4).

g) Only antlerless deer or antlered deer having at least five points on one side may

be harvested at those sites listed in this Section that are followed by a (5).

h) Statewide regulations shall apply at the following sites:


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Alvah Borah State Habitat Area (6)

* Anderson Lake State Fish and Wildlife Area (1) (2)

Apple River Canyon State Park – Thompson and Salem Units (6)

Argyle Lake State Park (1) (6)

* Banner Marsh State Fish and Wildlife Area (statewide hunting hours

except during the Central Zone duck season hunting hours 1:00 p.m. until

½ hour after sunset) (1) (2)

* Beall Woods State Park (1) (6)

* Big Bend State Fish and Wildlife Area (1) (2)

Big Grand Pierre Glade State Natural Area (1)

Big River State Forest (1) (6)

Bradford Pheasant Habitat Area (October 1-31 only) (6)

Buffalo Rock State Park/Blackball Mines Nature Preserve (2)

Burning Star State Fish and Wildlife Area (6)

Butterfield Trail State Recreation Area (6)

Cache River State Natural Area (1) (2)

Campbell Pond State Fish and Wildlife Area (1) (6)

Cape Bend State Fish and Wildlife Area (1) (2)

Carlyle Lake Lands and Waters (Corps of Engineers managed lands,

except Jim Hawn and East Spillway Areas)

* Carlyle Lake Lands and Waters (Corps of Engineers managed lands – Jim


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Hawn and East Spillway Areas)

Carlyle Lake State Fish and Wildlife Area (except subimpoundment area

is closed 7 days prior to and during the regular waterfowl season; lands

bounded on the east by "C" levee, south by "D" levee, west by ACOE

property line, and including the posted area west of parking lot #2, will be

open the entire archery deer hunting season) (6)

Castle Rock State Park (submission of all deer heads within 48 hours after

harvest on site is required to test for the presence of Chronic Wasting

Disease) (1) (6)

Cedar Glen State Natural Area (no hunting after December 15) (1) (6)

Chauncey Marsh State Natural Area (permit obtained at Red Hills State

Park headquarters) (1) (6)

Clinton Lake State Recreation Area (an antlerless deer must be taken on

the site before an antlered deer is harvested) (6)

Coffeen Lake State Fish and Wildlife Area (6)

Collier Limestone Glade State Natural Area (1)

Copperhead Hollow State Wildlife Area (1) (6)

Crawford County State Conservation Area (1) (6)

Cretaceous Hills State Natural Area (1) (6)

Cypress Creek National Wildlife Refuge

Cypress Pond State Natural Area (1) (2)

Deer Pond State Natural Area (1) (2)

Des Plaines Game Propagation Center (closed Saturdays and Sundays in

October and Sundays in November, December and January) (2)


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Des Plaines State Conservation Area (no hunting is permitted Wednesday

through Sunday of the site's permit pheasant season) (6)

Devil's Island State Wildlife Management Area

Dixon Springs State Park (1) (6)

Dog Island State Wildlife Management Area (1) (6)

Dublin Highlands Pheasant Habitat Area (opens statewide opening date;

however, site closes for archery deer hunting at the end of legal shooting

hours the day preceding the opening of the North Zone upland season and

reopens the day after the close of the North Zone upland season and runs

until the statewide season closes; submission of all deer heads within 48

hours after harvest on site is required to test for the presence of Chronic

Wasting Disease) (1) (2)

* Eagle Creek State Park (disabled hunters are exempt from site's antler

restrictions; for Corps of Engineers managed lands not managed by DNR,

contact Corps of Engineers, Lake Shelbyville office for specific deer

hunting policy) (4) (6)

Eldon Hazlet State Park (archery hunting is closed in the designated

controlled pheasant hunting area on days when the controlled pheasant

hunting program is in operation) (6)

Embarras River Bottoms State Habitat Area (1) (6)

Ferne Clyffe State Park (1) (2)

Finfrock State Habitat Area (October 1-31 only; eligible hunters required

to obtain Clinton Lake State Recreation Area site hunting permit) (6)

Flag Pond State Natural Area (1)

Flatwoods State Natural Area (1) (6)

Fort de Chartres State Historic Site (1) (2)


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* Fort Kaskaskia State Historic Site (opens November 1) (2)

Fort Massac State Park (1) (6)

Fox Ridge State Park (1) (6)

Franklin Creek State Natural Area (submission of all deer heads within 48

hours after harvest on site is required to test for the presence of Chronic

Wasting Disease) (6)

French Bluff State Natural Area (6)

George S. Park Memorial Woods State Natural Area (2)

Giant City State Park (1) (2)

Goose Lake Prairie State Natural Area/Heidecke State Fish & Wildlife

Area (archery deer hunting is closed during the muzzleloader deer season)

(6)

Green River State Wildlife Area (1) (6)

Hallsville State Habitat Area (October 1-31 only; eligible hunters will use

Clinton Lake State Recreation Area site hunting permit) (1) (6)

Hamilton County State Conservation Area (1) (6)

Hanover Bluff State Natural Area (6)

Harry "Babe" Woodyard State Natural Area (4) (6)

Henry Allen Gleason State Natural Area (6)

Hidden Springs State Forest (1) (6)

Hindsboro State Habitat Area (October 1 through October 31 only) (6)

Horseshoe Lake State Conservation Area – Alexander County (Controlled

Goose Hunting Area – open from October 1-31; reopens with the close of


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the Quota Zone goose season through statewide closing; remainder of the

Public Hunting Area open during statewide season) (1) (2)

Ilo Dillin State Habitat Area (hunting allowed during October only) (6)

Iroquois County State Wildlife Area/Hooper Branch only (1) (2)

Johnson-Sauk Trail State Park (statewide regulations apply, except that,

on Wednesdays through Sundays of the site's permit pheasant season,

hunting only allowed 2:00 p.m. until sunset) (1) (6)

Jubilee College State Park (2)

Kankakee River State Park (deer bow hunters must wear a cap and upper

outer garment with at least 400 square inches of solid blaze orange

between 9:00 a.m. and 3:00 p.m. on days when upland game hunting is

allowed during the site's controlled hunting season; a limited hunting

opportunity for persons with disabilities, Class P2A, exists at the Davis

Creek Bike Trail Area; disabled hunters must register to hunt at the site

office and must sign in and out daily; disabled hunters are required to hunt

with a non-disabled partner who may also hunt from predetermined

locations during the disabled hunting season (November 1 to the day

before the first firearm deer season, except campground blinds will remain

open until the close of the archery deer season and do not require a partner

to hunt) (6)

Kaskaskia River State Fish and Wildlife Area (the State-owned portion of

the defined waterfowl rest area is open until 2 weeks prior to the start of

the regular duck season through the close of the regular duck and Canada

goose seasons; no hunting within 50 yards of the Baldwin Lake Waterfowl

Rest Area's main north-south road) (1) (2 – except south of Highway 154

and north of Highway 13)

Kickapoo State Recreation Area (6)

Kidd Lake State Natural Area (1)

Kinkaid Lake State Fish and Wildlife Area (1) (2)


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Kishwaukee River State Fish and Wildlife Area; submission of all deer

heads within 48 hours after harvest on site is required to test for the

presence of Chronic Wasting Disease (6)

Lake Le Aqua Na State Park (submission of all deer heads within 48 hours

after harvest on site is required to test for the presence of Chronic Wasting

Diseaseantlerless deer only; November 1-30; hunting hours legal opening

until 10:00 a.m.) (62)

Larry D. Closson Habitat Area (October 1-31 only) (1)

Lincoln Trail State Park (November 1 through the end of statewide

season) (2)

Little Rock Creek State Habitat Area (opens statewide opening date;

however, site closes for archery deer hunting at the end of legal shooting

hours the day preceding the opening of the north zone upland season and

reopens the day after the close of the north zone upland season and runs

until the statewide season closes) (1) (2)

Lowden-Miller State Forest (submission of all deer heads within 48 hours


Disease) (1) (6)

Lowden State Park (in October, hunting allowed on Mondays, Tuesdays,

Wednesdays and Thursdays only, excluding official State holidays;

beginning November 1, archery hunting is allowed 7 days a week) (6)

Lusk Creek Canyon State Natural Area (1)

Mackinaw River State Fish and Wildlife Area (1) (6)

Marseilles State Fish and Wildlife Area (closed Friday, Saturday, and

Sunday in October only; no hunting after the first Thursday after January

10; all tree stands must be removed from this area no later than the last

day of the season; unauthorized personnel may not be on the site outside

of the posted check station operating hours; hunters may enter the site

only from designated parking lots) (1) (2)


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Marshall State Fish and Wildlife Area (Duck Ranch Unit closed 7 days

prior to the duck season through the close of duck season) (6)

Mautino State Fish and Wildlife Area (1) (6)

Maxine Loy Land and Water Reserve (6)

Maytown Pheasant Habitat Area (hunting allowed during October only)

(6)

Mazonia/Braidwood State Fish and Wildlife Area (2) (4)

Meeker State Habitat Area (1) (6)

Mermet Lake State Conservation Area (1) (6)

Middle Fork State Fish and Wildlife Area (6)

Midewin National Tallgrass Prairie (additional site hunting pass required)

(2)

Miller-Anderson Woods State Natural Area (2)

Mississippi Palisades State Park (closed during the first firearm deer

season) (1) (6)

Mississippi River Pool 16 (1)

Mississippi River Pools 17, 18 (1)

Mississippi River Pools 21, 22, 24 (1)

Mississippi State Fish and Waterfowl Management Area – Pools 25 and

26 (Batchtown, Crull Hollow and Godar Waterfowl Rest Areas are closed

to hunting beginning 14 days before regular duck season; areas reopen to

hunting the day after duck season closes; it is unlawful to trespass upon

the designated duck hunting areas between sunset of the Sunday

immediately preceding opening day of regular duck season through the

day before regular duck season as posted at the site; no deer hunting is


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allowed within 200 yards of an occupied duck blind; during duck season

only, deer hunters may not access the designated duck hunting areas by

launching a boat at certain specifically posted boat ramps; boat ramps

reopen to deer hunters the day after duck season closes; hunting is allowed

at Red's Landing and Riprap Landing walk-in areas from 12:00 p.m. to ½

hour after sunset during duck season, statewide hours during remainder of

season) (1)

Mitchell's Grove State Nature Preserve (antlerless deer only in October;

either-sex deer from November 1 until the end of the statewide season;

closed during the muzzleloading deer season) (2)

Momence Wetlands State Natural Area (1) (6)

Moraine View State Park (archery deer hunting closed Wednesday

through Sunday during the controlled pheasant season) (1) (6)

Morrison Rockwood State Park (opens on the day following the close of

the first firearm deer season) (1) (2)

* Mt. Vernon Propagation Center (1) (2)

Nauvoo State Park (Max Rowe Unit Only) (6)

Newton Lake State Fish and Wildlife Area (6)

Oakford State Conservation Area

Paul C. Burrus State Habitat Area (formerly Hurricane Creek State Habitat

Area) (hunter quotas filled by drawing) (6)

* Peabody River King State Fish and Wildlife Area (East subunit closes

November 1) (1) (2)

* Pekin Lake State Fish and Wildlife Area (1) (6)

Pere Marquette State Park (area east of Graham Hollow Road) (1) (6)

Prairie Ridge State Natural Area (1) (6)


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Pyramid State Park (4) (6)

Pyramid State Park – Captain Unit (4) (6)

Pyramid State Park – Denmark Unit (4) (6)

Pyramid State Park – East Conant Unit (4) (6)

Pyramid State Park – Galum Unit (4) (6)

Rall Woods State Natural Area (6)

* Ramsey Lake State Park (6)

* Randolph County State Conservation Area (1) (2)

Rauchfuss Hill State Recreation Area (1) (6)

Ray Norbut State Fish and Wildlife Area (6)

Ray Norbut State Fish and Wildlife Area – Dutch Creek Unit (6)

Ray Norbut State Fish and Wildlife Area – East Hannibal Unit (6)

* Red Hills State Park (1) (6)

Rend Lake State Fish and Wildlife Area (refuge only (south of site

headquarters) from October 1 through October 31; an antlerless deer must

be taken on the site before an antlered deer is harvested) (2)

Rend Lake State Fish and Wildlife Area and Corps of Engineers managed

areas of Rend Lake

Revis Hill Prairie State Natural Area (6)

* Rice Lake State Fish and Wildlife Area (statewide hunting hours, except

that, during the Central Zone duck season, hunting hours 1:00 p.m. until ½

hour after sunset) (1) (2)


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* Rockton Bog State Natural Area (6)

Sahara Woods State Fish and Wildlife Area (portions of site closed until

November 1) (6)

Saline County State Fish and Wildlife Area (1) (6)

* Sam Dale Lake State Fish and Wildlife Area (1) (6)

* Sam Parr State Park (1) (2)

Sandy Ford State Natural Area (antlerless deer only in October; either-sex

deer from November 1 until the end of the statewide season; archery deer

hunting is closed during the muzzleloader deer season) (2)

Sangamon County State Conservation Area (1)

Sanganois State Wildlife Area (Ash Swale Waterfowl Rest Area will be

closed to deer hunting during the waterfowl hunting seasons) (1) (6)

Sand Ridge State Forest (6)

* Shabbona Lake State Park (submission of all deer heads within 48 hours


Disease) (6)

Shelbyville State Fish and Wildlife Area (for Corps of Engineers managed

lands not managed by DNR, contact Corps of Engineers, Lake Shelbyville

office for specific deer hunting policy) (1) (6)

Sielbeck Forest State Natural Area (1) (6)

Siloam Springs State Park (4) (6)

Siloam Springs State Park (Fall Creek Unit) (6)

Siloam Springs State Park – Buckhorn Unit (resident hunters only) (4) (6)


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* Silver Springs State Park (2)

Skinner Farm State Habitat Area (1) (2)

* Snakeden Hollow State Fish and Wildlife Area (closed during goose

season; tree stands must be removed no later than the last day of archery

hunting on the site) (1) (6)

Sparks Pond State Natural Area (6)

Spoon River State Forest (1) (6)

* Spring Lake State Fish and Wildlife Area (1) (6)

* Starved Rock State Park/Matthiessen State Park/Margery C. Carlson

Nature Preserve (antlerless deer only in October; either-sex deer from

November 1 until the end of the statewide season; deer bowhunters must

wear a cap and upper outer garment with at least 400 square inches of

solid blaze orange during the statewide firearm deer seasons; open to

archery deer hunting during the statewide firearm deer season only in

Zone A) (2)

* Stephen A. Forbes State Recreation Area (6)

Tapley Woods State Natural Area (6)

Ten Mile Creek State Fish and Wildlife Area (areas designated as refuge

are closed to all access during Canada goose season only) (1) (6)

Trail of Tears State Forest (1) (2)

Turkey Bluffs State Fish and Wildlife Area (1) (2)

Union County State Fish and Wildlife Area (Firing Line Unit open

throughout statewide season; Controlled Public Hunting Area open

October 1 through October 31) (1) (2)

Vesely Land and Water Reserve/Wilmington Shrub Prairie Nature

Preserve (6)


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Walnut Point State Park (1) (6)

Wards Grove State Nature Preserve (closed during firearm deer hunting;

antlerless deer only) (6)

* Washington County State Conservation Area (1) (2)

Weinberg-King State Park (6)

Weinberg-King State Park – Cecil White Unit (6)

Weinberg-King State Park − Scripps Unit (resident hunters only) (6)

Weinberg-King State Park − Spunky Bottoms Unit (resident hunters only)

(6)

Weldon Springs State Park – Piatt County Unit (an antlerless deer must be

taken on the site before an antlered deer is harvested) (6)

Whitefield Pheasant Habitat Area (hunting allowed during October only)

(6)

* White Pines Forest State Park ( hunting allowed on Mondays, Tuesdays,

Wednesdays and Thursdays only – excluding official State holidays in

October. Beginning November 1, archery hunting is allowed 7 days a

week, excluding the site's special firearm deer season) (6)

Wildcat Hollow State Forest (1) (6)

Willow Creek State Habitat Area (hunting permitted October 1-31) (1) (6)

Winston Tunnel State Natural Area (6)

Wise Ridge State Natural Area (1)

Witkowsky State Wildlife Area (opens October 15) (6)

Wolf Creek State Park (an antlerless deer must be taken on the site before


18



an antlered deer is harvested; Illinois residents and non-residents are

eligible for the drawing; for Corps of Engineers managed lands not

managed by DNR, contact Corps of Engineers, Lake Shelbyville office,

for specific deer hunting policy) (4) (6)

Woodford State Fish and Wildlife Area (opens at the close of duck

season) (6)

i) Statewide regulations shall apply at the following sites except that hunter quotas

shall be filled by mail-in drawing:

Beaver Dam State Park (an antlerless deer must be taken on the site before

an antlered deer is harvested; harvest reports are due to the site by

December 31; failure to submit report shall result in the loss of hunting

privileges at the site for the following year) (1)

Bohm Woods State Nature Preserve (an antlerless deer must be taken on

the site before an antlered deer is harvested; harvest reports are due to the

site by January 31; failure to submit report shall result in the loss of

hunting privileges at the site for the following year) (1)

* Frank Holten State Park (opens November 1; crossing of Harding Ditch

within confines of site allowed; no hunting from Harding Ditch right-of-

way; drawing for weekly hunter quotas will be held prior to the season;

display windshield card while hunting; harvest report due to site by

January 31, failure shall result in ineligibility to hunt at the site the

following year) (1, starting October 15) (6)

Goode's Woods State Nature Preserve (an antlerless deer must be taken on

the site before an antlered deer is harvested; harvest reports are due to the

site by January 31; failure to submit report shall result in the loss of

hunting privileges at the site for the following year) (1)

* Horseshoe Lake State Park (Madison County) (hunting in designated areas

only; an antlerless deer must be taken on the site before an antlered deer is

harvested; harvest reports are due to the site by December 31; failure to

submit report shall result in the loss of hunting privileges at the site for the

following year) (1)


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Pere Marquette State Park (hunting allowed in group camping areas only;

season begins the first weekday after camps close)

* Zoeller State Natural Area (1) (6)

j) State regulations shall apply except that hunters must obtain a free permit from

the site office. This permit must be in possession while hunting and must be

returned, and harvest reported, to the address indicated on the card before

February 15. Failure to return the permit shall result in loss of hunting privileges

at that site for the following year.

* Horseshoe Lake State Park (Madison County – Gaberet, Mosenthein and

Chouteau Island Units)

k) Statewide regulations shall apply except that no hunting is permitted on days

thatWednesday through Sunday of the site is open tosite's permit pheasant season.

Chain O'Lakes State Park (season opens Monday prior to opening of

permit pheasant hunting season and closes before Tuesday following the

close of the controlled pheasant clean up huntpermit pheasant hunting

season; season reopens on December 26 throughtill close of regular

season) (3) (6)

Iroquois County State Conservation Area (permit pheasant hunting units

are closed to archery hunting on days the site is open to permit pheasant

hunting; archery hunting is open under statewide regulations in non-permit

pheasant hunting units) (6)

Wayne Fitzgerrell State Recreation Area (no bowhunting during

controlled hunts as posted at the site) (2)

l) Statewide regulations shall apply at the following sites except that nonresident

hunter quotas shall be filled by mail-in drawing. Information about specific

drawing dates and application procedures will be publicly announced. Successful

applicants will be issued a free permit from the site office. This permit must be in

possession while hunting and must be returned and harvest reported to the address

indicated on the card before February 15. Failure to return the permit shall result

in loss of hunting privileges at that site for the following year.


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Jim Edgar Panther Creek State Fish and Wildlife Area (Open Unit and

West Open Unit closed to archery hunting during the Youth Deer Season)

(1) (4) (6)

* Sangchris Lake State Park (site will be closed to archery deer hunting

during the second firearm deer season) (1) (4) (6)

m) Statewide regulations shall apply at this site except that hunter quotas for specific

periods shall be filled by mail-in drawing. Only Illinois residents are eligible to

apply. Information about drawing dates and application procedures will be

publicly announced.

Hennepin Canal State Trail (hunters must stay in their designated zone; an

antlerless deer must be taken on the site before an antlered deer may be

taken) (1) (6)

Illinois Beach State Park, North Dunes Nature Preserve and Illinois Beach

Nature Preserve (opens November 1; hunting assigned for one week

periods; site-issued windshield card must be displayed while hunting;

harvest report due to site by February 1, failure to report shall result in

ineligibility to hunt at the site the following year)

James Pate Philip State Park and Heron Woods State Habitat Area

Moraine Hills State Park (6)

Volo Bog State Natural Area (6)

n) Violations of site specific regulations are petty offenses (see 520 ILCS 5/2.20).



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1) Heading of the Part: Emergency Medical Services, Trauma Center, Comprehensive

Stroke Center, Primary Stroke Center and Acute Stroke Ready Hospital Code



515.100 Amendment

515.125 Amendment

515.150 Amendment

515.190 Amendment

515.210 Amendment

515.220 Amendment

515.310 Amendment

515.320 Amendment

515.330 Amendment

515.350 Amendment

515.360 Amendment

515.380 Amendment

515.390 Amendment

515.420 Amendment

515.450 Amendment

515.455 Amendment

515.460 Amendment

515.500 Amendment

515.510 Amendment

515.520 Amendment

515.530 Amendment

515.540 Amendment

515.550 Amendment

515.560 Amendment

515.570 Amendment

515.580 Amendment

515.590 Amendment

515.600 Amendment

515.610 Amendment

515.630 Amendment

515.640 Amendment

515.700 Amendment

515.710 Amendment


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515.715 Amendment

515.725 Amendment

515.730 Amendment

515.740 Amendment

515.750 Amendment

515.760 Amendment

515.810 Amendment

515.825 Amendment

515.830 Amendment

515.860 Amendment

515.920 Amendment

515.930 Amendment

515.935 Amendment

515.940 Amendment

515.945 Amendment

515.950 Amendment

515.955 Amendment

515.960 Amendment

515.963 Amendment

515.965 Amendment

515.970 Amendment

515.975 Amendment

515.980 Amendment

515.985 Amendment

515.990 Amendment

515.995 Amendment

515.1000 Amendment

515.3000 Amendment

515.Appendix D Amendment

515.Appendix E Amendment

4) Statutory Authority: Emergency Medical Services (EMS) Systems Act [210 ILCS 50]



7) Does this rulemaking contain incorporations by reference? Yes


18



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

in the Agency's principal office and is available for public inspection.

9) Notice of Proposal published in Illinois Register: 42 Ill. Reg. 6024; April 6, 2018


11) Differences between Proposal and Final Version: In response to public comments, the

Department made changes to Appendix D to add pediatric specific protocols.





15) Summary and Purpose of Rulemaking: The adopted amendments implement PA 96-

1469, PA 98-973, PA 99-319 and PA 99-661. PA 96-1469 granted authority to the

Department to adopt minimum standards for critical care providers via administrative

rulemaking. PA 98-973 adopted comprehensive new national EMS education standards

for three separate classes of EMS licensees and creates one new category of EMS

provider (AEMT). PA 99-319 changed the name of the advance directive form from

DNR/POLST to POLST. PA 99-661 amended several definitions.


Erin Conley

Rules Coordinator



535 W. Jefferson St., 5th Floor

Springfield, IL 62761

217/782-2043

email: [email protected]



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TITLE 77: PUBLIC HEALTH

CHAPTER I: DEPARTMENT OF PUBLIC HEALTH

SUBCHAPTER f: EMERGENCY SERVICES AND HIGHWAY SAFETY

PART 515

EMERGENCY MEDICAL SERVICES, TRAUMA CENTER,

COMPREHENSIVE STROKE CENTER, PRIMARY STROKE CENTER

AND ACUTE STROKE READY HOSPITAL CODE


Section

515.100 Definitions

515.125 Incorporated and Referenced Materials

515.150 Waiver Provisions

515.160 Facility, System and Equipment Violations, Hearings and Fines

515.165 Suspension, Revocation and Denial of Licensure

515.170 Employer Responsibility

515.180 Administrative Hearings

515.190 Felony Convictions

SUBPART B: EMS REGIONS

Section

515.200 Emergency Medical Services Regions

515.210 EMS Regional Plan Development

515.220 EMS Regional Plan Content

515.230 Resolution of Disputes Concerning the EMS Regional Plan

515.240 Bioterrorism Grants

515.250 Hospital Stroke Care Fund

515.255 Stroke Data Collection Fund

SUBPART C: EMS SYSTEMS

Section

515.300 Approval of New EMS Systems

515.310 Approval and Renewal of EMS Systems

515.315 Bypass Status Review

515.320 Scope of EMS Service

515.330 EMS System Program Plan


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515.340 EMS Medical Director's Course

515.350 Data Collection and Submission

515.360 Approval of Additional Drugs and Equipment

515.370 Automated Defibrillation (Repealed)

515.380 Do Not Resuscitate (DNR) and Practitioner Orders for Life-Sustaining Treatment

(POLST) Policy

515.390 Minimum Standards for Continuing Operation

515.400 General Communications

515.410 EMS System Communications

515.420 System Participation Suspensions

515.430 Suspension, Revocation and Denial of Licensure of EMTs (Repealed)

515.440 State Emergency Medical Services Disciplinary Review Board

515.445 Pediatric Care

515.450 Complaints

515.455 Intra- and Inter-Systemsystem Dispute Resolution

515.460 Fees

515.470 Participation by Veterans Health Administration Facilities

SUBPART D: EDUCATION OF EMERGENCY MEDICAL TECHNICIANS, ADVANCED

EMERGENCY MEDICAL TECHNICIANS, EMERGENCY MEDICAL TECHNICIANS-

INTERMEDIATE, PARAMEDICS AND EMS PERSONNEL

Section

515.500 EMS System Education Program-Emergency Medical Technician-Basic Training

515.510 Advanced Emergency Medical Technician and Emergency Medical Technician-

Intermediate EducationTraining

515.520 Emergency Medical Technician-Paramedic EducationTraining

515.530 EMT, A-EMT, EMT-I and Paramedic Testing

515.540 EMT, A-EMT, EMT-I and Paramedic Licensure

515.550 Scope of Practice – Licensed EMT and Paramedic

515.560 EMT-B Continuing Education

515.570 A-EMT and EMT-I Continuing Education

515.580 ParamedicEMT-P Continuing Education

515.590 EMS PersonnelEMT License Renewals

515.600 EMS PersonnelEMT Inactive Status

515.610 EMT, A-EMT, EMT-1 and Paramedic Reciprocity

515.620 Felony Convictions (Renumbered)

515.630 Evaluation and Recognition of Military Experience and Education

515.640 Reinstatement


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SUBPART E: EMS LEAD INSTRUCTOR, EMERGENCY MEDICAL DISPATCHER,

EMERGENCY MEDICAL RESPONDER, PRE-HOSPITAL REGISTERED NURSE,

EMERGENCY COMMUNICATIONS REGISTERED NURSE, AND

TRAUMA NURSE SPECIALIST

Section

515.700 EMS Lead Instructor

515.710 Emergency Medical Dispatcher

515.715 Provisional Licensure for First Responders and Emergency Medical Responders

515.720 First Responder (Repealed)

515.725 First Responder/Emergency Medical Responder

515.730 Pre-Hospital Registered Nurse

515.740 Emergency Communications Registered Nurse

515.750 Trauma Nurse Specialist

515.760 Trauma Nurse Specialist Program Plan

SUBPART F: VEHICLE SERVICE PROVIDERS

Section

515.800 Vehicle Service Provider Licensure

515.810 EMS Vehicle System Participation

515.820 Denial, Nonrenewal, Suspension and Revocation of a Vehicle Service Provider

License

515.825 Alternate Response Vehicle

515.830 Ambulance Licensing Requirements

515.833 In-Field Service Level Upgrade – Rural Population

515.835 Stretcher Van Provider Licensing Requirements

515.840 Stretcher Van Requirements

515.845 Operation of Stretcher Vans

515.850 Reserve Ambulances

515.860 Critical Care Transport

SUBPART G: LICENSURE OF SPECIALIZED EMERGENCY

MEDICAL SERVICES VEHICLE (SEMSV) PROGRAMS

Section

515.900 Licensure of SEMSV Programs – General

515.910 Denial, Nonrenewal, Suspension or Revocation of SEMSV Licensure


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515.920 SEMSV Program Licensure Requirements for All Vehicles

515.930 Helicopter and Fixed-Wing Aircraft Requirements

515.935 EMS Pilot Specifications

515.940 Aeromedical Crew Member EducationTraining Requirements

515.945 Aircraft Vehicle Specifications and Operation

515.950 Aircraft Medical Equipment and Drugs

515.955 Vehicle Maintenance for Helicopter and Fixed-wing Aircraft Programs

515.960 Aircraft Communications and Dispatch Center

515.963 Flight Program Safety Standards

515.965 Watercraft Requirements

515.970 Watercraft Vehicle Specifications and Operation

515.975 Watercraft Medical Equipment and Drugs

515.980 Watercraft Communications and Dispatch Center

515.985 Off-Road SEMSV Requirements

515.990 Off-Road Vehicle Specifications and Operation

515.995 Off-Road Medical Equipment and Drugs

515.1000 Off-Road Communications and Dispatch Center

SUBPART H: TRAUMA CENTERS

Section

515.2000 Trauma Center Designation

515.2010 Denial of Application for Designation or Request for Renewal

515.2020 Inspection and Revocation of Designation

515.2030 Level I Trauma Center Designation Criteria

515.2035 Level I Pediatric Trauma Center

515.2040 Level II Trauma Center Designation Criteria

515.2045 Level II Pediatric Trauma Center

515.2050 Trauma Center Uniform Reporting Requirements

515.2060 Trauma Patient Evaluation and Transfer

515.2070 Trauma Center Designation Delegation to Local Health Departments

515.2080 Trauma Center Confidentiality and Immunity

515.2090 Trauma Center Fund

515.2100 Pediatric Care (Renumbered)

515.2200 Suspension Policy for Trauma Nurse Specialist Certification

SUBPART I: EMS ASSISTANCE FUND

Section


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515.3000 EMS Assistance Fund Administration

SUBPART J: EMERGENCY MEDICAL SERVICES FOR CHILDREN

Section

515.3090 Pediatric Recognition of Hospital Emergency Departments and Inpatient Critical

Care Services

515.4000 Facility Recognition Criteria for the Emergency Department Approved for

Pediatrics (EDAP)

515.4010 Facility Recognition Criteria for the Standby Emergency Department Approved

for Pediatrics (SEDP)

515.4020 Facility Recognition Criteria for the Pediatric Critical Care Center (PCCC)

SUBPART K: COMPREHENSIVE STROKE CENTERS,

PRIMARY STROKE CENTERS AND ACUTE STROKE-READY HOSPITALS

515.5000 Definitions

515.5002 State Stroke Advisory Subcommittee

515.5004 Regional Stroke Advisory Subcommittee

515.5010 Stroke Care – Restricted Practices

515.5015 Comprehensive Stroke Center (CSC) Designation

515.5016 Request for Comprehensive Stroke Center Designation

515.5017 Suspension and Revocation of Comprehensive Stroke Center Designation

515.5020 Primary Stroke Center (PSC) Designation

515.5030 Request for Primary Stroke Center Designation

515.5040 Suspension and Revocation of Primary Stroke Center Designation

515.5050 Acute Stroke-Ready Hospital (ASRH) Designation without National Certification

515.5060 Acute Stroke-Ready Hospital Designation Criteria without National Certification

515.5070 Request for Acute Stroke-Ready Hospital Designation without National

Certification

515.5080 Suspension and Revocation of Acute Stroke-Ready Hospital Designation without

National Certification

515.5083 Acute Stroke-Ready Hospital Designation with National Certification

515.5085 Request for Acute Stroke-Ready Hospital Designation with National Certification

515.5087 Suspension and Revocation of Acute Stroke-Ready Hospital Designation with

National Certification

515.5090 Data Collection and Submission

515.5100 Statewide Stroke Assessment Tool


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515.APPENDIX A A Request for Designation (RFD) Trauma Center

515.APPENDIX B A Request for Renewal of Trauma Center Designation

515.APPENDIX C Minimum Trauma Field Triage Criteria

515.APPENDIX D Administrative, Legal and EMS Protocols and GuidelinesStanding

Medical Orders

515.APPENDIX E Minimum Prescribed Data Elements

515.APPENDIX F Template for In-House Triage for Trauma Centers

515.APPENDIX G Credentials of General/Trauma Surgeons Level I and Level II

515.APPENDIX H Credentials of Emergency Department Physicians Level I and Level II

515.APPENDIX I Credentials of General/Trauma Surgeons Level I and Level II Pediatric

Trauma Centers

515.APPENDIX J Credentials of Emergency Department Physicians Level I and Level II

Pediatric Trauma Centers

515.APPENDIX K Application for Facility Recognition for Emergency Department with

Pediatrics Capabilities

515.APPENDIX L Pediatric Equipment Recommendations for Emergency Departments

515.APPENDIX M Inter-facility Pediatric Trauma and Critical Care Consultation and/or

Transfer Guideline

515.APPENDIX N Pediatric Critical Care Center (PCCC)/Emergency Department Approved

for Pediatrics (EDAP) Recognition Application

515.APPENDIX O Pediatric Critical Care Center Plan

515.APPENDIX P Pediatric Critical Care Center (PCCC) Pediatric

Equipment/Supplies/Medications Requirements

AUTHORITY: Implementing and authorized by the Emergency Medical Services (EMS)

Systems Act [210 ILCS 50].

SOURCE: Emergency Rule adopted at 19 Ill. Reg. 13084, effective September 1, 1995 for a

maximum of 150 days; emergency expired January 28, 1996; adopted at 20 Ill. Reg. 3203,

effective February 9, 1996; emergency amendment at 21 Ill. Reg. 2437, effective January 31,

1997, for a maximum of 150 days; amended at 21 Ill. Reg. 5170, effective April 15, 1997;


September 8, 1998; amended at 24 Ill. Reg. 8585, effective June 10, 2000; amended at 24 Ill.

Reg. 9006, effective June 15, 2000; amended at 24 Ill. Reg. 19218, effective December 15, 2000;


effective December 20, 2002; amended at 27 Ill. Reg. 1277, effective January 10, 2003; amended

at 27 Ill. Reg. 6352, effective April 15, 2003; amended at 27 Ill. Reg. 7302, effective April 25,

2003; amended at 27 Ill. Reg. 13507, effective July 25, 2003; emergency amendment at 29 Ill.

Reg. 12640, effective July 29, 2005, for a maximum of 150 days; emergency expired December


18



25, 2005; amended at 30 Ill. Reg. 8658, effective April 21, 2006; amended at 32 Ill. Reg. 16255,

effective September 18, 2008; amended at 35 Ill. Reg. 6195, effective March 22, 2011; amended

at 35 Ill. Reg. 15278, effective August 30, 2011; amended at 35 Ill. Reg. 16697, effective

September 29, 2011; amended at 35 Ill. Reg. 18331, effective October 21, 2011; amended at 35

Ill. Reg. 20609, effective December 9, 2011; amended at 36 Ill. Reg. 880, effective January 6,


effective February 15, 2012; amended at 36 Ill. Reg. 11196, effective July 3, 2012; amended at

36 Ill. Reg. 17490, effective December 3, 2012; amended at 37 Ill. Reg. 5714, effective April 15,


effective June 25, 2013; amended at 37 Ill. Reg. 18883, effective November 12, 2013; amended

at 37 Ill. Reg. 19610, effective November 20, 2013; amended at 38 Ill. Reg. 9053, effective April

9, 2014; amended at 38 Ill. Reg. 16304, effective July 18, 2014; amended at 39 Ill. Reg. 13075,

effective September 8, 2015; amended at 40 Ill. Reg. 8274, effective June 3, 2016; amended at

40 Ill. Reg. 10006, effective July 11, 2016; recodified at 42 Ill. Reg. 10700; amended at 42 Ill.

Reg. 17632, effective September 20, 2018.



Act – the Emergency Medical Services (EMS) Systems Act [210 ILCS 50].

Acute Stroke-Ready Hospital or ASRH – a hospital that has been designated by

the Department as meeting the criteria for providing emergent stroke care.

Designation may be provided after a hospital has been certified or through

application and designation as an Acute Stroke-Ready Hospital. (Section 3.116

of the Act)

Advanced Emergency Medical Technician or A-EMT − a person who has

successfully completed a course in basic and limited advanced emergency

medical care as approved by the Department, is currently licensed by the

Department in accordance with standards prescribed by the Act and this Part, and

practices within an Intermediate or Advanced Life Support EMS System. (Section

3.50(b-5) of the Act)

Advanced Life Support Services or ALS Services – an advanced level of pre-

hospital and inter-hospital emergency care and non-emergency medical services

that includes basic life support care, cardiac monitoring, cardiac defibrillation,

electrocardiography, intravenous therapy, administration of medications, drugs


18



and solutions, use of adjunctive medical devices, trauma care, and other

authorized techniques and procedures as outlined in the National EMS Education

Standards relating to Advanced Life Support and any modifications to that

curriculum or those standards specified in this Part. (Section 3.10(a) of the Act)

Aeromedical Crew Member or Watercraft Crew Member or Off-road Specialized

Emergency Medical Services Vehicle (SEMSV) Crew Member – an individual,

other than an EMS pilot, who has been approved by an SEMSV Medical Director

for specific medical duties in a helicopter or fixed-wing aircraft, on a watercraft,

or on an off-road SEMSV used in a Department-certified SEMSV Program.

Alternate EMS Medical Director or Alternate EMS MD – the physician who is

designated by the Resource Hospital to direct the ALS/Advanced/ILS/BLS

operations in the absence of the EMS Medical Director.

Alternate Response Vehicle – ambulance assist vehicles and non-transport

vehicles as defined in Section 515.825.

Ambulance – any publicly or privately owned on-road vehicle that is specifically

designed, constructed or modified and equipped for, and is intended to be used

for, and is maintained or operated for, the emergency transportation of persons

who are sick, injured, wounded or otherwise incapacitated or helpless, or the

non-emergency medical transportation of persons who require the presence of

medical personnel to monitor the individual's condition or medical apparatus

being used on such individuals. (Section 3.85 of the Act)

Ambulance Service Provider and Vehicle Service Provider Upgrades – Rural

Population – a practice that allows an ambulance, alternate response vehicle,

specialized emergency medical services vehicle or vehicle service provider that

serves a population of 7,500 or fewer to upgrade the level of service of the

provider vehicle using pre-approved System personnel and equipment.

Ambulance Service Provider – any individual, group of individuals, corporation,

partnership, association, trust, joint venture, unit of local government or other

public or private ownership entity that owns and operates a business or service

using one or more ambulances or EMS vehicles for the transportation of

emergency patients.


18



Applicant – an individual or entity applying for a Department-issued license or

certification.

Associate Hospital – a hospital participating in an approved EMS System in

accordance with the EMS System Program Plan, fulfilling the same clinical and

communications requirements as the Resource Hospital. This hospital has neither

the primary responsibility for conducting educationtraining programs nor the

responsibility for the overall operation of the EMS System program. The

Associate Hospital must have a basic or comprehensive emergency department

with 24-hour physician coverage. It shall have a functioning Intensive Care Unit

or a Cardiac Care Unit.

Associate Hospital EMS Coordinator – the Paramedic or Registered Nurse at the

Associate Hospital who shall be responsible for duties in relation to the EMSALS,

Intermediate Life Support, Advanced or Basic Life Support System, in

accordance with the Department-approved EMS System Program Plan.

Associate Hospital EMS Medical Director – the physician at the Associate

Hospital who shall be responsible for the day-to-day operations of the Associate

Hospital in relation to the EMSALS, ILS, or BLS System, in accordance with the

Department-approved EMS System Program Plan.

Basic Emergency Department – a classification of a hospital emergency

department where at least one physician is available in the emergency department

at all times; physician specialists are available in minutes; and ancillary services,

including laboratory, x-ray and pharmacy, are staffed or are "on-call" at all times

in accordance with Section 250.710 of the Hospital Licensing Requirements.

Basic Life Support or BLS Services – a basic level of pre-hospital and inter-

hospital emergency care and non-emergency medical services that includes

medical monitoring, clinical observation, airway management, cardiopulmonary

resuscitation (CPR), control of shock and bleeding and splinting of fractures, as

outlined in the National EMS Education Standards relating to Basic Life Support

and any modifications to that curriculum or standards specified in this Part.

(Section 3.10(c) of the Act)

Board Eligible in Emergency Medicine – completion of a residency in Emergency

Medicine in a program approved by the Residency Review Committee for

Emergency Medicine or the Council on Postdoctoral Training (COPT) for the


18



American Osteopathic Association (AOA).

Continuing Education or CE – Ongoing emergency medical education after

licensure that is designated to maintain, update or upgrade medical knowledge

and skills.

Certified Registered Nurse Anesthetist or CRNA – a licensed Registered

Professional Nurse registered professional nurse who has had additional education

beyond the Registered Professional Nurse registered professional nurse

requirements at a school/program accredited by the National Council on

Accreditation; who has passed the certifying exam given by the National Council

on Certification; and who, by participating in 40 hours of continuing education

every two years, has been recertified by the National Council on Recertification.

Child Abuse and Neglect – see the definitions of "abused child" and "neglected

child" in Section 3 of the Abused and Neglected Child Reporting Act.

Child Life Specialist – A person whose primary role is to minimize the adverse

effects of children's experiences by facilitating coping and the psychosocial

adjustment of children and their families through the continuum of care.

Clinical Observation – ongoing observation of a patient's condition by a licensed

health care professional utilizing a medical skill set while continuing assessment

and care. (Section 3.5 of the Act)

Comprehensive Emergency Department – a classification of a hospital emergency

department where at least one licensed physician is available in the emergency

department at all times; physician specialists shall be available in minutes;

ancillary services, including laboratory and x-ray, are staffed at all times; and the

pharmacy is staffed or "on-call" at all times in accordance with Section 250.710

of the Hospital Licensing Requirements.

Comprehensive Stroke Center or CSC – a hospital that has been certified and has

been designated as a Comprehensive Stroke Center under Subpart K. (Section

3.116 of the Act)

CPR for Healthcare Providers – a course in cardiopulmonary resuscitation that

meets or exceeds the American Heart Association course "BLS for Healthcare

Providers".


18



Critical Care Transport or CCT or Specialty Care Transport or SCT – pre-hospital

or inter-hospital transportation of a critically injured or ill patient by a vehicle

service provider, including the provision of medically necessary supplies and

services, at a level of service beyond the scope of the Paramedic. When medically

indicated for a patient, as determined by a physician licensed to practice

medicine in all of its branches, an Advanced Practice Nurse , or a physician

assistant, in compliance with subsections (b) and (c) of Section 3.155 of the

Act.(Section 3.10(f-5)or CCT – A Specialty Care Transport (SCT) level of inter-

facility or 911 service that uses paramedic, pre-hospital registered nurse and, on

occasion, specialized nursing staff to perform skills and interventions at levels

above the usual and customary scope of paramedic practice within the State of

Illinois. Advanced education, continuing education and special certifications are

required. All Critical Care Transport Programs shall be under the direction of a

Department-approved ALS EMS System.

Department or IDPH – the Illinois Department of Public Health. (Section 3.5 of

the Act)

Director – the Director of the Illinois Department of Public Health or his/her

designee. (Section 3.5 of the Act)

Door-to-_____ − The time from patient arrival at the health care facility until the

specified result, procedure or intervention occurs.

Dysrhythmia – a variation from the normal electrical rate and sequences of

cardiac activity, also including abnormalities of impulse formation and

conduction.

Effective Radiated Power or ERP – the power gain of a transmitting antenna

multiplied by the net power accepted by the antenna from the connected

transmitter.

Electrocardiogram or EKG – a single lead graphic recording of the electrical

activity of the heart by a series of deflections that represent certain components of

the cardiac cycle.

Emergency – a medical condition of recent onset and severity that would lead a

prudent layperson, possessing an average knowledge of medicine and health, to


18



believe that urgent or unscheduled medical care is required. (Section 3.5 of the

Act)

Emergency Communications Registered Nurse or ECRN – a Registered

Professional Nurseregistered professional nurse licensed under the Nurse

Practice Act who has successfully completed supplemental education in

accordance with this Part and who is approved by an EMS Medical Director to

monitor telecommunications from and give voice orders to EMS System

personnel, under the authority of the EMS Medical Director and in accordance

with System protocols. (Section 3.80 of the Act) For out-of-state facilities that

have Illinois recognition under the EMS, trauma or pediatric programs, the

professional shall have an unencumbered license in the state in which he or she

practices.

Emergency Department Approved for Pediatrics or EDAP – a hospital

participating in an approved EMS System and designated by the Department

pursuant to Section 515.4000 of this Part as being capable of providing optimal

emergency department care to pediatric patients 24 hours per day.

Emergency Medical Dispatch Priority Reference System or EMDPRS – an EMS

System's organized approach to the receipt, management and disposition of a

request for emergency medical services.

Emergency Medical Dispatcher or EMD – a person who has successfully

completed a training course in emergency medical dispatching in accordance

with this Part, who accepts calls from the public for emergency medical services

and dispatches designated emergency medical services personnel and vehicles.

(Section 3.70 of the Act)

Emergency Medical Dispatch Priority Reference System or EMDPRS – an EMS

System's organized approach to the receipt, management and disposition of a

request for emergency medical services.

Emergency Medical Services Personnel or EMS Personnel – includes Emergency

Medical Responder, Emergency Medical Dispatcher, Emergency Medical

Technician, Advanced Emergency Medical Technician, Emergency Medical

Technician-Intermediate, Paramedic, Emergency Communications Registered

Nurse and Pre-Hospital Registered Nurse.


18



Emergency Medical Responder or EMR (AKA First Responder) – a person who

has successfully completed a course of instruction for the Emergency Medical

Responder as approved by the Department, who provides Emergency Medical

Responder services prior to the arrival of an ambulance or specialized emergency

medical services vehicle, in accordance with the level of care established in the

National EMS Educational Standards for Emergency Medical Responders as

modified by the Department.

Emergency Medical Responder Services – a preliminary level of pre-hospital

emergency care that includes cardiopulmonary resuscitation (CPR), monitoring

vital signs and control of bleeding, as outlined in the Emergency Medical

Responder (EMR) curriculum of the National EMS Education standards and any

modifications to that curriculum (standards) specified in this Part. (Section

3.10(d) of the Act)

Emergency Medical Services Personnel or EMS Personnel – persons licensed as

an Emergency Medical Responder (EMR) (First Responder), Emergency Medical

Dispatcher (EMD), Emergency Medical Technician (EMT), Emergency Medical

Technician-Intermediate (EMT-I), Advanced Emergency Medical Technician (A-

EMT), Paramedic, Emergency Communications Registered Nurse (ECRN), or

Pre-Hospital Registered Nurse (PHRN). (Section 3.5 or the Act)

Emergency Medical Services System or EMS System or System – an organization

of hospitals, vehicle service providers and personnel approved by the Department

in a specific geographic area, which coordinates and provides pre-hospital and

inter-hospital emergency care and non-emergency medical transports at a BLS,

Advanced, ILS and/or ALS level pursuant to a System Program Plan submitted to

and approved by the Department, and pursuant to the EMS Region Plan adopted

for the EMS Region in which the System is located. (Section 3.20(a) of the Act)

Emergency Medical Services System Survey – a questionnaire that provides data

to the Department for the purpose of compiling annual reports.

Emergency Medical Technician or EMT (AKA EMT-B) – a person who has

successfully completed a course in basic life support as approved by the

Department, is currently licensed by the Department in accordance with

standards prescribed by the Act and this Part and practices within an EMS

System. (Section 3.50(a) of the Act)


18



Emergency Medical Technician-Coal Miner – for purposes of the Coal Mine

Medical Emergencies Act, an EMT, A-EMT, EMT-I or Paramedic who has

received additional education emphasizing extrication from a coal mine.

Emergency Medical Technician-Intermediate or EMT-I – a person who has

successfully completed a course in intermediate life support as approved by the

Department, is currently licensed by the Department in accordance with the

standards prescribed in this Part and practices within an Intermediate or

Advanced Life Support EMS System. (Section 3.50(b) of the Act)

Emergent Stroke Care – emergency medical care that includes diagnosis and

emergency medical treatment of suspected or known acute stroke patients.


Emergent Stroke Ready Hospital – a hospital that has been designated by the

Department as meeting the criteria for providing emergentemergency stroke care

as set forth in the Act and Section 515.5060. (Section 3.116 of the Act)

EMS – emergency medical services.

EMS Administrative Director – the administrator, appointed by the Resource

Hospital in consultation with the EMS Medical Director, in accordance with this

Part, responsible for the administration of the EMS System. (Section 3.35 of the

Act)

EMSC – Emergency Medical Services for Children.

EMS Lead Instructor or LI – a person who has successfully completed a course of

education as approved by the Department in this Part, and who is currently

approved by the Department to coordinate or teach education, training and

continuing education courses, in accordance with this Part. (Section 3.65(a) of

the Act)

EMS Medical Director or EMS MD – the physician, appointed by the Resource

Hospital, who has the responsibility and authority for total management of the

EMS System.

EMS Regional Plan – a plan established by the EMS Medical Director's

Committee in accordance with Section 3.30 of the Act.


18



EMS System Coordinator – an individual responsible to the EMS Medical

Director and EMS Administrative Director for coordination of the educational and

functional aspects of the System program.

EMS System Program Plan – the document prepared by the Resource Hospital

and approved by the Department that describes the EMS System program and

directs the program's operation.

Fixed-Wing Aircraft – an engine-driven aircraft that is heavier than air, and is

supported in-flight by the dynamic reaction of the air against its wings.

Full-Time – on duty a minimum of 36 hours a week.

Half-Duplex Communications – a radio or device that transmits and receives

signals in only one direction at a time.

Health Care Facility – a hospital, nursing home, physician's office or other fixed

location at which medical and health care services are performed. It does not

include "pre-hospital emergency care settings" that utilize EMS Personnel to

render pre-hospital emergency care prior to the arrival of a transport vehicle, as

defined in the Act and this Part. (Section 3.5 of the Act)

Helicopter or Rotorcraft – an aircraft that is capable of vertical take offs and

landings, including maintaining a hover.

Helicopter Shopping − the practice of calling various operators until a helicopter

emergency medical services (HEMS) operator agrees to take a flight assignment,

without sharing with subsequent operators that the previously called operators

declined the flight, or the reasons why the flight was declined.

Hospital – has the meaning ascribed to that term in Section 3 of the Hospital

Licensing Act. (Section 3.5 of the Act)

Hospitalist – a physician who primarily provides unit-based/in-hospital services.

In-Field Service Level Upgrade – a practice that allows the delivery of advanced

care from a lower level service provider by a licensed higher level of care

ambulance, alternate response vehicle, or specialized emergency medical services


18



vehicle according to a pre-approved written plan approved by the local EMS

Medical Director.

Instrument Flight Rules or IFR – the operation of an aircraft in weather

minimums below the minimums for flight under visual flight rules (VFR). (See

General Operating and Flight Rules, 14 CFR 91.115 through 91.129.)

Instrument Meteorological Conditions or IMC – meteorological conditions

expressed in terms of visibility, distance from clouds and ceiling, which require

Instrument Flight Rules.

Intermediate Life Support Services or ILS Services – an intermediate level of pre-

hospital and inter-hospital emergency care and non-emergency medical services

that includes basic life support care plus intravenous cannulation and fluid

therapy, invasive airway management, trauma care, and other authorized

techniques and procedures as outlined in the Intermediate Life Support national

curriculum of the United States Department of Transportation and any

modifications to that curriculum specified in this Part. (Section 3.10 of the Act)

Level I Trauma Center – a hospital participating in an approved EMS System and

designated by the Department pursuant to Section 515.2030 of this Part to provide

optimal care to trauma patients and to provide all essential services in-house, 24

hours per day.

Level II Trauma Center – a hospital participating in an approved EMS System

and designated by the Department pursuant to Section 515.2040 of this Part to

provide optimal care to trauma patients, to provide some essential services

available in-house 24 hours per day, and to provide other essential services

readily available 24 hours a day.

Licensee – an individual or entity to which the Department has issued a license.

Limited Operation Vehicle – a vehicle which is licensed by the Department to

provide basic, intermediate or advanced life support emergency or non-

emergency medical services that are exclusively limited to specific events or

locales. (Section 3.85 of the Act)

Local System Review Board – a group established by the Resource Hospital to

hear appeals from EMS Personnel or other providers who have been suspended or


18



have received notification of suspension from the EMS Medical Director.

Medical Monitoring – the performance of medical tests and physical exams to

evaluate an individual's on-going exposure to a factor that could negatively

impact that person's health. This includes close surveillance or supervision of

patient's liable to suffer deterioration in physical or mental health and checks of

various parameters such as pulse rate, temperature, respiration rate, the

condition of the pupils, the level of consciousness and awareness, the degree of

appreciation of pain, and blood gas concentrations such as oxygen and carbon

dioxide. (Section 3.5 of the Act)

Mobile Radio – a two-way radio installed in an EMS vehicle, which may not be

readily removed.

Morbidity – a negative outcome that is the result of the original medical or trauma

condition or treatment rendered or omitted.

911 – an emergency answer and response system in which the caller need only

dial 9-1-1 on a telephone or mobile device to obtain emergency services,

including police, fire, medical ambulance and rescue.

Non-emergency Medical Care – medical care, clinical observation, or medical

monitoring rendered to patients whose conditions do not meet the Act's definition

of emergency, before or during transportation of such patients to or from health

care facilities visited for the purpose of obtaining medical or health care services

that are not emergency in nature, using a vehicle regulated by the Act and this

Part. (Section 3.10(g) of the Act)

Nurse Practitioner – a person who is licensed as a Nurse Practitioner nurse

practitioner under the Nurse Practice Act. For out-of-state facilities that have

Illinois recognition under the EMS, trauma or pediatric programs, the professional

shall have an unencumbered license in the state in which he or she practices.

Off-Road Specialized Emergency Medical Services Vehicle or Off-Road SEMSV

or Off-Road SEMS Vehicle – a motorized cart, golf cart, all-terrain vehicle

(ATV), or amphibious vehicle that is not intended for use on public roads.

Paramedic or EMT-P – a person who has successfully completed a course in

advanced life support care as approved by the Department, is currently licensed


18



by the Department in accordance with standards prescribed by the Act and this

Part and practices within an Advanced Life Support EMS System. (Section 3.50

of the Act)

Participating Hospital – a hospital participating in an approved EMS System in

accordance with the EMS System Program Plan, which is not a Resource Hospital

or an Associate Hospital.

Pediatric Critical Care Center or PCCC – a hospital participating in an approved

EMS System and designated by the Department as being capable of providing

optimal critical and specialty care services to pediatric patients, and of providing

all essential services either in-house or readily available 24 hours per day.

Pediatric Patient – patient from birth through 15 years of age.

Physician – any person licensed to practice medicine in all of its branches under

the Medical Practice Act of 1987. For out-of-state facilities that have Illinois

recognition under the EMS, trauma or pediatric programs, the professional shall

have an unencumbered license in the state in which he or she practices.

Physician Assistant – a person who is licensed under the Physician Assistant

Practice Act. For out-of-state facilities that have Illinois recognition under the

EMS, trauma or pediatric programs, the professional shall have an unencumbered

license in the state in which he or she practices.

Pilot or EMS Pilot – a pilot certified by the Federal Aviation Administration who

has been approved by an SEMSV Medical Director to fly a helicopter or fixed-

wing aircraft used in a Department-certified SEMSV Program.

Portable Radio – a hand-held radio that accompanies the user during the conduct

of emergency medical services.

Practitioner Order for Life-Sustaining Treatment on POLST or Do Not

Resuscitate or DNR – an authorized practitioner order that reflects an individual's

wishes about receiving cardiopulmonary resuscitation (CPR) and life-sustaining

treatments, including medical interventions and artificially administered nutrition.

Pre-Hospital Care – those medical services rendered to patients for analytic,

resuscitative, stabilizing, or preventive purposes, precedent to and during


18



transportation of such patients to healthcare facilities. (Section 3.10(e) of the

Act)

Pre-Hospital Care Participants – Any EMS Personnel, Ambulance Service

Provider, EMS Vehicle, Associate Hospital, Participating Hospital, EMS

Administrative Director, EMS System Coordinator, Associate Hospital EMS

Coordinator, Associate Hospital EMS Medical Director, ECRN, Resource

Hospital, Emergency Dispatch Center or physician serving on an ambulance or

non-transport vehicle or giving voice orders for an EMS System and who are

subject to suspension by the EMS Medical Director of that System in accordance

with the policies of the EMS System Program Plan approved by the Department.

Pre-Hospital Registered Nurse or PHRN – a Registered Professional

Nurseregistered professional nurse, with an unencumbered Registered Nurse

registered nurse license in the state in which he or she practices who has

successfully completed supplemental education in accordance with this Part and

who is approved by an Illinois EMS Medical Director to practice within an EMS

System for pre-hospital and inter-hospital emergency care and non-emergency

medical transports. (Section 3.80 of the Act) For out-of-state facilities that have

Illinois recognition under the EMS, trauma or pediatric programs, the professional

shall have an unencumbered license in the state in which he or she practices.

Primary Stroke Center or PSC – a hospital that has been certified by a

Department-approved, nationally recognized certifying body and designated as a

Primary Stroke Center by the Department. (Section 3.116 of the Act)

Provisional EMR – a person who is at least 16 years of age, who has successfully

completed a course of instruction for emergency medical responders as prescribed

by the Department and passed the exam, and who functions within an approved

EMS System pursuant to Section 515.715.

Regional EMS Advisory Committee – a committee formed within an Emergency

Medical Services Region to advise the Region's EMS Medical Directors

Committee and to select the Region's representative to the State Emergency

Medical Services Advisory Council, consisting of at least the members of the

Region's EMS Medical Directors Committee, the Chair of the Regional Trauma

Committee, the EMS System Coordinators from each Resource Hospital within

the Region, one administrative representative from an Associate Hospital within

the Region, one administrative representative from a Participating Hospital


18



within the Region, one administrative representative from the vehicle service

provider which responds to the highest number of calls for emergency service

within the Region, one administrative representative of a vehicle service provider

from each System within the Region, one individual from each level of license

provided by the Act, one Pre-Hospital Registered Nurse practicing within the

Region, and one Registered Professional Nurseregistered professional nurse

currently practicing in an emergency department within the Region. Of the two

administrative representatives of vehicle service providers, at least one shall be

an administrative representative of a private vehicle service provider. The

Department's Regional EMS Coordinator for each Region shall serve as a non-

voting member of that Region's EMS Advisory Committee. (Section 3.25 of the

Act)

Regional EMS Coordinator – the designee of the Chief, Division of Emergency

Medical Services and Highway Safety, Illinois Department of Public Health.

Regional EMS Medical Directors Committee – a group comprised of the Region's

EMS Medical Directors, along with the medical advisor to a fire department

vehicle service provider. For regions that include a municipal fire department

serving a population of over 2,000,000 people, that fire department's medical

advisor shall serve on the Committee. For other regions, the fire department

vehicle service providers shall select which medical advisor to serve on the

Committee on an annual basis. (Section 3.25 of the Act)

Regional Stroke Advisory Subcommittee – a subcommittee formed within each

Regional EMS Advisory Committee to advise the Director and the Region's EMS

Medical Directors Committee on the triage, treatment, and transport of possible

acute stroke patients and to select the Region's representative to the State Stroke

Advisory Subcommittee. (Section 3.116 of the Act) The composition of the

Subcommittee shall be as set forth in Section 3.116 of the Act.

Regional Trauma Advisory Committee – a committee formed within an

Emergency Medical Services Region, to advise the Region's Trauma Center

Medical Directors Committee, consisting of at least the Trauma Center Medical

Directors and Trauma Coordinators from each trauma center within the Region,

one EMS Medical Director from a Resource Hospital within the Region, one EMS

System Coordinator from another Resource Hospital within the Region, one

representative each from a public and private vehicle service provider which

transports trauma patients within the Region, an administrative representative


18



from each trauma center within the Region, one EMR, EMD, EMT, EMT-I, A-

EMT, Paramedic, ECRN, or PHRN representing the highest level of EMS

PersonnelPersonnel practicing within the Region, one emergency physician and

one Trauma Nurse Specialist currently practicing in a trauma center. The

Department's Regional EMS Coordinator for each Region shall serve as a non-

voting member of that Region's Trauma Advisory Committee. (Section 3.25 of the

Act)

Registered Nurse or Registered Professional Nurse or RN – a person who is

licensed as an RN a professional nurse under the Nurse Practice Act. For out-of-

state facilities that have Illinois recognition under the EMS, trauma or pediatric

programs, the professional shall have an unencumbered license in the state in

which he or she practices.

Resource Hospital – the hospital with the authority and the responsibility for an

EMS System as outlined in the Department-approved EMS System Program Plan.

The Resource Hospital, through the EMS Medical Director, assumes

responsibility for the entire program, including the clinical aspects, operations and

educationeducational programs. This hospital agrees to replace medical supplies

and provide for equipment exchange for participating EMS vehicles.

Rural Ambulance Service Provider – an ambulance service provider licensed

under the Act that serves a rural population of 7,500 or fewer inhabitants.

(Section 3.87(a) of the Act)

Rural In-Field Service Level Upgrade – a practice that allows the delivery of

advanced care for a lower level service provider that serves a rural population of

7,500 or fewer inhabitants, through use of EMS System approved EMS personnel.

Rural Vehicle Service Provider – an entity that serves a rural population of 7,500

or fewer inhabitants and is licensed by the Department to provide emergency or

non-emergency medical services in compliance with the Act, this Part and an

operational plan approved by the entity's EMS System, utilizing at least an

ambulance, alternate response vehicle as defined by the Department in this Part,

or specialized emergency medical services vehicle. (Section 3.87(a) of the Act)

Screening – a preliminary procedure or assessment, such as a test or examination,

to detect the most characteristic sign or signs of a disorder or condition that may


18



require further investigation (for example, assessing for potential abuse or neglect

through interview responses and behavioral/physical symptom clues).

SEMSV Medical Control Point or Medical Control Point – the communication

center from which the SEMSV Medical Director or his or her designee issues

medical instructions or advice to the aeromedical, watercraft, or off-road SEMSV

crew members.

SEMSV Medical Director or Medical Director – the physician appointed by the

SEMSV Program who has the responsibility and authority for total management

of the SEMSV Program, subject to the requirements of the EMS System of which

the SEMSV Program is a part.

SEMSV Program or Specialized Emergency Medical Services Vehicle Program –

a program operating within an EMS System, pursuant to a program plan

submitted to and certified by the Department, using specialized emergency

medical services vehicles to provide emergency transportation to sick or injured

persons.

Special-Use Vehicle – any publicly or privately owned vehicle that is specifically

designed, constructed or modified and equipped, and is intended to be used for,

and is maintained or operated solely for, the emergency or non-emergency

transportation of a specific medical class or category of persons who are sick,

injured, wounded or otherwise incapacitated or helpless (e.g., high-risk

obstetrical patients, neonatal patients). (Section 3.85 of the Act)

Specialized Emergency Medical Services Vehicle or SEMSV – a vehicle or

conveyance, other than those owned or operated by the federal government, that

is primarily intended for use in transporting the sick or injured by means of air,

water, or ground transportation, that is not an ambulance as defined in the Act.

The term includes watercraft, aircraft and special purpose ground transport

vehicles not intended for use on public roads. (Section 3.85 of the Act)

"Primarily intended", for the purposes of this definition, means one or more of the

following:

Over 50 percent of the vehicle's operational (i.e., in-flight) hours are

devoted to the emergency transportation of the sick or injured;

The vehicle is owned or leased by a hospital or ambulance provider and is


18



used for the emergency transportation of the sick or injured;

The vehicle is advertised as a vehicle for the emergency transportation of

the sick or injured;

The vehicle is owned, registered or licensed in another state and is used on

a regular basis to pick up and transport the sick or injured within or from

within this State; or

The vehicle's structure or permanent fixtures have been specifically

designed to accommodate the emergency transportation of the sick or

injured.

Standby Emergency Department – a classification of a hospital emergency

department where at least one of the Registered Nurses registered nurses on duty

in the hospital is available for emergency services at all times, and a licensed

physician is "on-call" to the emergency department at all times in accordance with

Section 250.710 of the Hospital Licensing Requirements.

Standby Emergency Department Approved for Pediatrics or SEDP – a hospital

participating in an approved EMS System and designated by the Department,

pursuant to Section 515.4010 of this Part, as being capable of providing optimal

standby emergency department care to pediatric patients and to have transfer

agreements and transfer mechanisms in place when more definitive pediatric care

is needed.

State EMS Advisory Council – a group that advises the Department on the

administration of the Act and this Part whose members are appointed in

accordance with Section 3.200 of the Act.

Stretcher Van – a vehicle used by a licensed stretcher van provider to transport

non-emergency passengers in accordance with the Act and this Part.

Stretcher Van Provider – an entity licensed by the Department to provide non-

emergency transportation of passengers on a stretcher in compliance with the Act

and this Part, utilizing stretcher vans. (Section 3.86 of the Act)

Stroke Network – a voluntary association of hospitals, including a hospital with a

board eligible or board certified neurosurgeon or neurologist, that may, among


18



other activities, share stroke protocols; provide medical consultations on possible

or known acute stroke patients or on inter-facility transfers of possible or known

acute stroke patients; or provide education specific to improving acute stroke care.

Participating hospitals in a stroke network may be in-state or out-of-state.

Substantial Compliance – meeting requirements except for variance from the

strict and literal performance that results in unimportant omissions or defects

given the particular circumstances involved.

Substantial Failure – the failure to meet requirements other than a variance from

the strict and literal performance that results in unimportant omissions or defects

given the particular circumstances involved.

Sustained Hypotension – two systolic blood pressures of 90 mmHg five minutes

apart or, in the case of a pediatric patient, two systolic blood pressures of 80

mmHg five minutes apart.

System Participation Suspension – the suspension from participation within an

EMS System of an individual or individual provider, as specifically ordered by

that System's EMS Medical Director.

Telecommunications Equipment – a communication system capable of

transmitting and receiving voice and electrocardiogram (EKG) signals.

Telemetry – the transmission of data through a communication system to a

receiving station for recording, interpretation and analysis.

Trauma – any significant injury which involves single or multiple organ systems.


Trauma Category I – a classification of trauma patients in accordance with

Appendix C and Appendix F of this Part.

Trauma Category II – a classification of trauma patients in accordance with

Appendix C and Appendix F of this Part.

Trauma Center – a hospital which: within designated capabilities provides

optimal care to trauma patients; participates in an approved EMS System; and is

duly designated pursuant to the provisions of the Act. (Section 3.90 of the Act)


18



Trauma Center Medical Director or Trauma Center MD – the trauma surgeon

appointed by a Department-designated Trauma Center who has the responsibility

and authority for the coordination and management of patient care and trauma

services at the Trauma Center. He or she must have 24-hour independent

operating privileges and shall be board certified in surgery with at least one year

of experience in trauma care.

Trauma Center Medical Directors Committee – a group composed of the Region's

Trauma Center Medical Directors. (Section 3.25 of the Act)

Trauma Coordinator – a Registered Nurse registered nurse working in conjunction

with the Trauma Medical Director. The Trauma Coordinator is responsible for

the organization of service and systems necessary for a multidisciplinary approach

throughout the continuum of trauma care.

Trauma Nurse Specialist or TNS – a Registered Professional Nurse registered

professional nurse licensed under the Nurse Practice Act who has successfully

completed supplemental education and testing requirements as prescribed by the

Department, and is licensed in accordance with this Part. (Section 3.75 of the

Act) For out-of-state facilities that have Illinois recognition under the EMS,

trauma or pediatric program, the professional shall have an unencumbered license

in the state in which he or she practices.

Trauma Nurse Specialist Course Coordinator or TNSCC – a Registered Nurse

registered nurse appointed by the Chief Executive Officer of a hospital designated

as a TNS education siteTraining Site, who meets the requirements of Section

515.750.

Trauma Service – an identified hospital surgical service in a Level I or Level II

Trauma Center functioning under a designated trauma director in accordance with

Sections 515.2030(c) and 515.2040(c).

Unit Identifier – a number assigned by the Department for each EMS vehicle in

the State to be used in radio communications.

Vehicle Service Provider – an entity licensed by the Department to provide

emergency or non-emergency medical services in compliance with the Act and

this Part and an operational plan approved by its EMS SystemsSystem(s), utilizing


18



at least ambulances or specialized emergency medical service vehicles (SEMSV).

(Section 3.85(a) of the Act)

Watercraft – a nautical vessel, boat, airboat, hovercraft or other vehicle that

operates in, on or across water.


Section 515.125 Incorporated and Referenced Materials

a) The following regulations and standards are incorporated in this Part:

1) Private and professional association standards:

A) Glasgow Coma Scale

Champion HR, Sacco WJ, Carnazzo AJ et al.:

CritCare Med 9(9): 672-676 (1981)

B) Revised Trauma Score, 1999

from Resources for the Optimal Care of the Injured Patient

American College of Surgeons

633 North Saint Clair Street

Chicago IL, Illinois 60611-3211

C) Abbreviated Injury Score, 2005

American Association for the Advancement

of Automotive Medicine

Des Plaines IL, Illinois 60008

D) Injury Severity Score

Baker SP, O'Neil B, Hadon W et al.:

Journal of Trauma 14: 187-196 (1974)

E) International Classification of Diseases,

9th Revision, Clinical Modification (ICD-9-CM)

Alphabetic Index to External Causes of Injury (E-Codes),

Second Printing (2010)

World Health Organization, Geneva, Switzerland and

National Center for Health Statistics


18



Published by Edwards Brothers, Inc. Ann Arbor MI, Michigan

F) Resources for Optimal Care of the Injured Patient (2006)

American College of Surgeons

633 North Saint Clair Street

Chicago IL, Illinois 60611-3211

G) Pediatric Advanced Life Support (PALS) (2011)

American Heart Association National Center

7272 Greenville Center

Dallas TX, Texas 75231

H) Advanced Cardiovascular Life Support (ACLS) Provider Manual

(2010)

American Heart Association National Center

7272 Greenville Center

Dallas TX 75231

I) Pediatric Education for Prehospital Professionals (PEPP) Third

Edition Provider Manual (2015)

American Academy of Pediatrics

141 Northwest Point Boulevard

Elk Grove Village IL 60007

J) International Trauma Life Support (ITLS) 8th Edition Provider

Manual

ITLS-International Trauma Life Support

3000 Woodcreek Drive, Suite 200

Downers Grove IL 60515

K) Prehospital Trauma Life Support (PHTLS) 8th Edition Providers

Manual

National Association of Emergency Medical Technicians

(NAEMT)

P.O. Box 1400

Clinton MS 39060-1400

L) National Registry of Emergency Medical Technicians (NREMT)

(2015): A nationally recognized corporation that certifies EMS


18



Personnel: https://www.nremt.org/nremt/about/

apply_for_assess_exam.asp

M) National Registry of Emergency Medical Technicians (NREMT)

Cognitive Exam Retest Policy (2015): https://www.nremt.org/

nremt/about/policyCognitiveExamRetest. asp

N) National EMS Scope of Practice Model (2007): National Highway

Traffic Safety Administration (NHTSA): http://www.ems.gov/

education/EMSScope.pdf

O) National Association of EMS State Officials (NASEMSO),

National Model EMS Clinical Guidelines (2014): https://

www.nasemso.org/Projects/ModelEMSClinicalGuidelines/

index.asp

P) National Guidelines for Educating EMS Instructors (2002),

National Association of EMS Educators (NAEMSE): http://

naemse.org/?page=LVL1InstructorCourse

2) Federal government publications:

A) Federal Specifications for Ambulance, KKK-A-1822F (August

2007), United States General Services Administration,

Specifications Section, 2200 Crystal Drive, Suite 1006, Arlington

VA 22202

B) National Emergency Medical Services Education Standards:

National Highway Traffic Safety Administration (NHSTA) DOT

HS 811 077A; (2009): http://www.ems.gov/pdf/811077c.pdf

United States Department of Transportation, Emergency Medical

Technician-Basic: National Standard Curriculum (1998), which

may be obtained from the Superintendent of Documents, U.S.

Government Printing Office, Washington, D.C. 20402

C) National Highway Traffic Safety Administration (NHSTA):

National Emergency Medical Services Education Standards

(2009): http://www.ems.gov/pdf/811077a.pdfC)United States

Department of Transportation, Emergency Medical Technician-


18



Intermediate: National Standard Curriculum (1998), which may be

obtained from the Superintendent of Documents, U.S. Government

Printing Office, Washington, D.C. 20402

D) United States Department of Transportation, Emergency Medical

Technician-Paramedic: National Standard Curriculum (1998),

which may be obtained from the Superintendent of Documents,

U.S. Government Printing Office, Washington, D.C. 20402 (See

Sections 515.215(a); 515.500(c) and (e); 515.510(a) and (d);

515.530(c); 515.532(b); 515.810(b) and (c); and 515.850(a) and

(b).)

E) United States Department of Transportation, First Responder:

National Standard Curriculum (1997), which may be obtained

from the Superintendent of Documents, U.S. Government Printing

Office, Washington, D.C. 20402

F) United States Department of Transportation, EMS Instructor

Training Program: National Standard Curriculum (1995), which


Government Printing Office, Washington, D.C. 20402

DG) United States Department of Transportation, Emergency Medical

Dispatcher: National Standard Curriculum (19961995), which


Government Printing Office, Washington DC, D.C. 20402

EH) The Federal Aviation Administration Type Certificate Data Sheet

for a particular aircraft required crew can be found at

http://www.faa.gov/aircfraft/

F) The Aeronautical Information Manual, Chapter 10 (2014, US

Department of Transportation): https://www.faa.gov/air_traffic/

publications/media/aim_basic_4-03-14.pdf

3) Federal regulations:

A) 47 CFR 90 (October 15, 2012October 1, 2008) − Private Land

Mobile Radio Services


18



B) Air Taxi Operations and Commercial Operators (14 CFR 135

(January 1, 2009), Subparts A, Sections 135.1 through 135.43; B,

Sections 135.61 through 135.125; C, Sections 135.141 through

135.185; D, Sections 135.201 through 135.229; E, Sections

135.241 through 135.247; F, Section 135.261; J, Sections 135.411

through 135.443)

C) 42 CFR 2A (October 1, 2009) − Confidentiality of Alcohol and

Drug Abuse Patient Records

b) All incorporations by reference of federal regulations and the standards of

nationally recognized organizations refer to the regulations and standards on the

date specified and do not include any amendments or editions subsequent to the

date specified.

bc) The following statutes and State regulations are referenced in this Part:

1) Federal statutes:

Federal Aviation Act of 1958, Sections 307 and 308 (P.L. 85-726,

72 USC 731)

2) State of Illinois statutes:

A) Hospital Emergency Services Act [210 ILCS 80]

B) Hospital Licensing Act [210 ILCS 85]

C) Medical Practice Act of 1987 [225 ILCS 60]

D) Nurse Practice Act [225 ILCS 65]

E) Medical Studies ActCode of Civil Procedure [735 ILCS 5/8-2101

735 ILCS 5]

F) Emergency Telephone System Act [50 ILCS 750]

G) Boat Registration and Safety Act [625 ILCS 45]


18



H) Open Meetings Act [5 ILCS 120]

I) Illinois Administrative Procedure Act [5 ILCS 100]

J) Head and Spinal Cord Injury Act [410 ILCS 515]

K) Freedom of Information Act [5 ILCS 140]

L) State Records Act [5 ILCS 160]

M) Coal Mine Medical Emergencies Act [410 ILCS 15]

N) Abused and Neglected Child Reporting Act [325 ILCS 5]

O) Illinois Grant Funds Recovery Act [30 ILCS 705]

3) State of Illinois regulations:

A) Practice and Procedure in Administrative Hearings (77 Ill. Adm.

Code 100)

B) Hospital Licensing Requirements (77 Ill. Adm. Code 250)

C) Aviation Safety (92 Ill. Adm. Code 14.790, 14.792, 14.795)

c) National Emergency Medical Services Information System (NEMSIS) Version 3

Prehospital Dataset, January 28, 2016, available at: http://www.dph.illinois.

gov/sites/default/files/resources/Illinois-NEMSIS-v3-Datset-012816.pdf


Section 515.150 Waiver Provisions

a) The Department may grant a waiver to any provision of the Act or this Part for a

specified period of time determined appropriate by the Department. The

Department may grant a waiver when it can be demonstrated that there will be no

reduction in standards of medical care as determined by the EMS MDMedical

Director or the Department. (Section 3.185 of the Act) Waivers shall be valid


18



only for the length of time determined by the Department (see subsection (f)).

For either a single or multiple waiver request, the burden of proof as to the factual

basis supporting any waiver shall be on the applicant.

b) Any entity may apply in writing to the Department for a waiver to specific

requirements or standards for which it considers compliance to be a hardship.

(Section 3.185 of the Act) The application shall contain the following

information:

1) The applicant's name, address, and license number (if applicable);

2) The Section of the Act or this Part for which the waiver is being sought;

3) An explanation of why the applicant considers compliance with the

Section to be a unique hardship, including:

A) A description of how the applicant has attempted to comply with

the Section;

B) The reasons for non-compliance; and

C) A detailed plan for achieving compliance. The detailed plan shall

include specific timetables;.

4) The period of time for which the waiver is being sought;

5) An explanation of how the waiver will not reduce the quality of medical

care established by the Act and this Part; and

6) If the applicant is a System Participant, the applicant's EMS MD shall

state in writing whether he or shehe/she recommends or opposes the

application for waiver, the reason for the recommendation or opposition,

and how the waiver will or will not reduce the quality of medical care

established by the Act and this Part. The applicant shall submit the EMS

MD's statements along with the application for waiver. If the EMS MD

does not provide written statements within 30 days after the applicant's

request, the EMS MD will be determined to be in support of the

application, and the application may be submitted to the Department.


18



c) An EMS MD may apply to the Department for a waiver on behalf of a System

Participant by submitting an application that contains all of the information

required by subsection (b), along with a statement signed by the System

Participant requesting or authorizing the EMS MD to make the application.

d) The Department will grant the requested waiver if it finds the following:

1) The waiver will not reduce the quality of medical care established by the

Act and this Part;

2) Full compliance with the statutory or regulatory requirementrequirment at

issue is or would be a unique hardship on the applicant;

3) For EMS Personnelan EMT seeking a waiver to extend a relicensure date

in order to complete relicensure requirements:

A) The EMS PersonnelEMT has previously received no more than

one extension since his or her last relicensure; and

B) The EMS PersonnelEMT has not established a pattern of seeking

extensions (e.g., waivers sought based on the same type of

hardship in two or more previous license periods);

4) For an applicant other than EMS Personnelan EMT:

A) The applicant has previously received no more than one waiver of

the same statutory or regulatory requirement during the current

license or designation period;

B) The applicant has not established a pattern of seeking waivers of

the same statutory or regulatory requirement during previous

license or designation period; and

C) The Department finds that the hardship preventing compliance

with the particular statutory or regulatory requirement is unique

and not of an ongoing nature;

5) For a hospital requesting a waiver to participate in a System other than

that in which the hospital is geographically located:


18



A) Documentation that transfer patterns support the request; and

B) Historic patterns of patient referrals support the request.

e) When granting a waiver, the Department will specify the statutory or regulatory

requirement that is being waived, any alternate requirement that the waiver

applicant shall meet, and any procedures or timetable that the waiver applicant

shall follow to achieve compliance with the waived requirement.

f) The Department will determine the length of any waiver that it grants, based on

the nature and extent of the hardship and will consider the medical needs of the

community or areas in which the waiver applicant functions.

g) The Department will grant a waiver of Section 515.830(a)(1) for a vehicle that

changes ownership if the vehicle meets the requirements of the U.S. General

Services Administration's "Specifications for Ambulance" (KKK-A-1822D or

KKK-A-1822E).


Section 515.190 Felony Convictions

a) Applicants and licensees convicted of an Illinois Class X, Class 1 or Class 2

felony or an out-of-state equivalent offense shall be subject to adverse licensure

actions under Section 3.50(d)(8) of the Act. In determining whether an applicant

or licensee has been convicted of an out-of-state equivalent offense under Section

3.50(d)(8)(H) of the Act, the Department shall look to the essential elements of

the out-of-state offense to determine whether that conviction is substantially

equivalent to an Illinois Class X, Class 1 or Class 2 felony. The fact that the out-

of-state offense may be named or classified differently by another state, territory

or country shall not be considered in determining whether the out-of-state offense

is equivalent. The controlling factor shall be whether the essential elements of the

out-of-state offense are substantially equivalent to the essential elements of an

Illinois Class X, Class 1 or Class 2 felony (Section 3.50(d) of the Act).

b) All applicants for any license, permit or certification under the Act shall fully

disclose any and all felony convictions in writing to the Department at the time of

initial application or renewal. Failure to disclose all felony convictions on an


18



application submitted to the Department shall be grounds for license denial or

revocation (see Section 515.430).

c) All licensees and certificate and permit holders under the Act shall report all new

felony convictions to the Department within seven days after conviction.

Convictions shall be reported by means of a letter to the Department.

d) For applicants with a Class X, Class 1 or Class 2 felony or an out-of-state

equivalent offense (Section 3.50(d) of the Act), the Department shall have the

authority to require that the applicant sign an authorization permitting the

Department to obtain a criminal history report from the Illinois State Police or

other law enforcement agency at the applicant's cost. The failure or refusal of any

felony applicant to provide the authorization and fee required by the applicable

law enforcement agency shall be grounds for denial of licensure, including

renewal.

e) In deciding whether to issue any license to a person with a felony conviction

under Section 3.50(d) of the Act, the Department shall consider the degree to

which the applicant's criminal history suggests that the applicant may present a

risk to patients. Factors to be considered shall include, but not be limited to:

1) The length of time since the conviction and the severity of the penalty

imposed;

2) Whether the conviction involved theft, deception or infliction of

intentional, unjustified harm to others;

3) Whether there are repeat or multiple convictions or whether the

convictions suggest a particular pattern of overall disregard for the safety

or property of others;

4) Whether the conviction suggests a propensity that may pose a threat to the

public in stressful situations commonly confronted by EMS providers and

EMRsFirst Responders;

5) The degree to which the applicant provided full, complete and accurate

information upon written request of the Department; and


18



6) Other unusual facts and circumstances that strongly suggest that the

applicant should not be granted a license.

f) The Department may request and the applicant shall provide all additional

information relevant to the applicant's history and the factors listed in subsection

(e). The Department shall deny any application when the applicant fails or

refuses to provide additional relevant information requested by the Department,

including, but not limited to, providing the written authorization and fee for a

police criminal background check.


SUBPART B: EMS REGIONS

Section 515.220 EMS Regional Plan Content

a) The EMS Medical Directors Committee portion of the Regional Plan shall

address at least the following (Section 3.30(a) of the Act):

1) Protocols for inter-System/inter-Region patient transports, including

protocols for pediatric patients and pediatric patients with special health

care needs, identifying the conditions of emergency patients that may not

be transported to the different levels of emergency department, based on

the emergencytheir department classifications and relevant Regional

considerations (e.g., transport times and distances);

2) Regional standing medical orders;

3) Patient transfer patterns, including criteria for determining whether a

patient needs the specialized service of a trauma center, along with

protocols for the bypassing of or diversion to any hospital, trauma center

or regional trauma center, Comprehensive Stroke Center, Primary Stroke

Center, Acute Stroke-Ready Hospital or Emergent Stroke Ready Hospital,

which are consistent with individual System bypass or diversion protocols

and protocols for patient choice or refusal;

4) Protocols for resolving regional or inter-System conflict;


18



5) An EMS disaster preparedness plan which includes the actions and

responsibilities of all EMS participants within the Region for care and

transport of both the adult and pediatric population;

6) Regional standardization of CE continuing education requirements;

7) Regional standardization of Do Not Resuscitate (DNR) and Practitioner

Orders for Life-Sustaining Treatment (POLST) policies, and protocols for

power of attorney for health care;

8) Protocols for disbursement of Department grants (Section 3.30(a)(1-8) of

the Act);

9) Protocols for the triage, treatment, and transport of possible acute stroke

patients developed jointly with the Regional Stroke Advisory

Subcommittee (Section 3.30(a)(9) of the Act). Regional Stroke Data will

be considered as it becomes available regarding development of stroke

transport protocols;

10) Regional standing medical orders shall include the administration of

opioid antagonists. (Section 3.30(a)(10) of the Act);

11) Protocols for stroke screening;

12) Development of protocols to improve and integrate EMS for children (or

EMSC) into the current delivery of emergency services within the Region;

and

13) Development of a policy in regard to incidents involving school buses,

which shall include, but not be limited to:

A) Assessment of the incident, including mechanism and extent of

damage to the vehicle;

B) Passenger assessment/extent of injuries;

C) A provision for transporting all children with special healthcare

needs and those with communication difficulties;


18



D) Age specific issues; and

E) Use of a release form for non-transportsnontransports.

b) The Trauma Center Medical Directors or Trauma Center Medical Directors

Committee portion of the Regional Plan shall address at least the following:

1) The identification of regional trauma centers and identification of trauma

centers that specialize in pediatrics;

2) Protocols for inter-System and inter-Region trauma patient transports,

including identifying the conditions of emergency patients which may not

be transported to the different levels of emergency department, based on

their department classifications and relevant Regional considerations

(e.g., transport times and distances);

3) Regional trauma standing medical orders;

4) Trauma patient transfer patterns, including criteria for determining

whether a patient needs the specialized services of a trauma center, along

with protocols for the bypassing of or diversion to any hospital, trauma

center or regional trauma center which are consistent with individual

System bypass or diversion protocols and protocols for patient choice or

refusal (These policies must include the criteria of Section 515.Appendix

C.);

5) The identification of which types of patients can be cared for by Level I

and Level II Trauma Centers;

6) Criteria for inter-hospital transfer of trauma patients, including the

transfer of pediatric patients;

7) The treatment of trauma patients in each trauma center within the Region;

8) A program for conducting a quarterly conference which shall include at a

minimum a discussion of morbidity and mortality between all professional

staff involved in the care of trauma patients. (Section 3.30(b)(1-9) of the

Act)


18



A) This shall include but not be limited to all cases that have been

deemed potentially preventable or preventable in the trauma center

review using Resources for Optimal Care of the Injured Patient.

This review should exclude trauma patients who were dead on

arrival.

B) In addition, the review shall include all patients who were

transferred more than two hours after time of arrival at the initial

institution and who meet one or more of the following criteria at

the receiving trauma center:

i) Admitted to an intensive care unit;

ii) Admitted to a bed with telemetry monitoring;

iii) Went directly to the operating room;

iv) Went to the operating room from the emergency

department;

v) Discharged to a rehabilitation or skilled care facility;

vi) Died following arrival.

C) The Region shall include a review of morbidity/audit filters that

have been determined by the Region.

D) Cumulative regional reports will be made available upon request

from the Department; and

9) The establishment of a regional trauma quality assurance and

improvement subcommittee, consisting of trauma surgeons, that shall

perform periodic medical audits of each trauma center's trauma services,

and forward tabulated data from those reviews to the Department.

(Section 3.30(b)(9) of the Act)

c) The Regional Stroke Advisory Subcommittee portion of the Region Plan shall

address at least the following:


18



1) The identification of Comprehensive Stroke Centers, Primary Stroke

Centers, Acute Stroke-Ready Hospitals and Emergent Stroke Ready

Hospitals and their incorporation in the Region Plan and the System

Program Plan;

2) In conjunction with the EMS Medical Directors, development of protocols

for identifying and transporting acute stroke patients to the nearest

appropriate facility capable of providing acute stroke care. These protocols

shall be consistent with individual System bypass or diversion protocols

and protocols for patient choice;

3) Regional stroke transport protocols recommended by the Regional Stroke

Advisory Subcommittee and approved by the EMS Medical Directors

Committee; and

4) With the EMS Medical Directors, joint development of acute stroke

patient transfer patterns, including criteria for determining whether a

patient needs the specialized services of a Comprehensive Stroke Center,

Primary Stroke Center, Acute Stroke-Ready Hospital or Emergent Stroke

Ready Hospital, along with protocols for the bypassing of, or diversion to,

any hospital, thatwhich are consistent with individual inter-system bypass

or diversion protocols and protocols for patient choice or refusal.

d) The Director shall coordinate with and assist the EMS System Medical Directors

and Regional Stroke Advisory Subcommittee within each EMS Region to establish

protocols related to the assessment, treatment, and transport of possible acute

stroke patients by licensed emergency medical services providers. These

protocols shall include regional transport plans for the triage and transport of

possible acute stroke patients to the most appropriate Comprehensive Stroke

Center, Primary Stroke Center or Acute Stroke-Ready Hospital, unless

circumstances warrant otherwise. (Section 3.118.5(f) of the Act)

e) The Region's EMS Medical Directors and Trauma Center Medical Directors

Committees shall appoint any subcommittees thatwhich they deem necessary to

address specific issues concerning Region activities. (Section 3.30(c) of the Act)

f) Internal Disaster Plans


18



1) Each System hospital shall submit an internal disaster plan to the EMS

Medical Directors Committee and the Trauma Center Medical Directors

Committee.

2) The hospital internal disaster plan shall be coordinated with, or a part of,

the hospital's overall disaster plan.

3) The plan shall be coordinated with local and State disaster plans.

4) The hospital internal disaster plan shall be developed by a hospital

committee and shall at a minimum:

A) Identify the authority to implement the internal disaster plan,

including the chain of command and how notification shall be

made throughout the hospital;

B) Identify the critical operational elements required in the hospital in

an internal disaster;

C) If the facility needs to go on bypass or resource limitation status,

identify the person responsible for notification and the persons

both outside and within the hospital who should be notified;

D) Identify a person or group responsible for ensuring that needed

resources and supplies are available;

E) Identify a person to communicate with representatives from other

agencies, organizations, and the EMS System;

F) Identify a person who is responsible for procuring all supplies

required to manage the facility and return the facility to the

pre-incident status;

G) Identify the plan and procedure for educating facility employees on

their role and responsibilities during the disaster;

H) Designate a media spokesperson;


18



I) Establish a method for resource coordination between departments

and individuals to address management of staff, patients and

patient flow patterns;

J) Designate a person (safety officer) with responsibility for

establishing safety policies to include, but not be limited to,

decontamination operations, safety zones, site safety plans,

evacuation parameters, and traffic patterns;

K) Designate a location where personnel, not actually committed to

the incident, will report for assignments, as needed (i.e., a staging

area);

L) Include notification procedures to EMS Systems, area ambulances,

both public and private, and police and fire authorities of the type

of incident that caused the hospital to implement its internal

disaster plan and of any special instructions, e.g., use of a different

driveway or entrance;

M) Establish a designated form of communication, both internal and

external, to maintain two-way communication (e.g., Mobile

Emergency Communications of Illinois (MERCI), ham radio,

walkie talkies);

N) Include a policy to call in additional nursing staff when an

identified staffing shortage exists;

O) Include the policy developed pursuant to Section 515.315(f);

P) Include contingency plans for the transfer of patients to other

facilities if an evacuation of the hospital becomes necessary due to

a catastrophe, including but not limited to a power failure (Section

3.30 of the Act); and

Q) Address biological and chemical incidents and the availability of

decontamination.



18



SUBPART C: EMS SYSTEMS

Section 515.310 Approval and Renewal of EMS Systems

a) All applicants for EMS System approval shall submit to the Department one

copythree copies of a written EMS System Program Plan in a format approved by

the Department that complies with Section 515.330 of this Part and is

authorizedsigned by the EMS MDMedical Director.

1) The Plan shall clearly identify any portion or item that is not expected to

be fully operational by the date of Department approval, and shall specify

the expected date for full operation of such portion or item, which shall

not exceed one year after Department approval has been issued.

2) The Department willshall expect all portions of the proposed Plan to be

fully operational upon Department approval unless otherwise identified

pursuant to this Section.

b) The Department willshall review a submitted Program Plan and notify the

applicant of any corrections that must be submitted in order to complete the Plan.

The Department willshall also require the applicant to submit a formal waiver

request for any item or portion identified as having a delayed operational date, if

the Department finds that:

1) The item or length of operational delay has not previously been authorized

by the Department for other EMS Systems;, or

2) The delay would appear to prevent the System from operating in

substantial compliance with the Act or this Part upon approval;, or

3) The delay would appear potentially to reduce the quality of medical/EMS

care established by the Act and this Part.

c) The Department willshall conduct an on-site inspection of the applicant Resource

Hospital within 90ninety days after a Program Plan has been accepted as

complete.

d) The Department willshall issue a letter of approval to the applicant EMS System

if the inspection indicates compliance with the approved Program Plan, the Act


18



and this Part. The letter willshall indicate the level or levelslevel(s) of service that

the System is authorized to provide (CCT, ALS, ILS, BLS).

e) A System approval shall be valid for a period of four years, except as allowed in

subsection (l) of this Section.

f) A System seeking renewal of approval shall submit a written request to the

Department at least 90ninety days prior to its renewal date. The request shall

include any proposed revisions to the Program Plan and updates of all letters of

commitment required by Section 515.330.

g) The Department willshall review the request for renewal and notify the System of

any corrections that must be submitted to complete the update of the Program

Plan.

h) The Department willshall conduct an on-site renewal inspection of the Resource

Hospital during each four-year approval period, and willshall conduct additional

inspections of any System hospital or vehicle provider as necessary to ensure

compliance with the Program Plan, the Act and this Part.

i) The Department willshall issue a letter of renewal approval to the EMS System if

the Program Plan is complete, the inspection indicated substantial compliance

with the approved Program Plan, the Act and this Part, and there is no Department

legal action pending against the System. The letter willshall indicate the level or

levelslevel(s) of service that the System is authorized to provide (CCT, ALS, ILS,

BLS).

j) An approved EMS System shall amend its Program Plan by submitting to the

Department thethree copies of the entire portion or Section in which the change is

proposed, along with a letter authorizedsigned by the EMS MDMedical Director

that describes the reason or reasonsreason(s) for the change. The amendment

shall not be implemented until approval has been granted by the Department.

k) Changes in any of the following shall be considered modifications of a System

Program Plan requiring submission of a proposed amendment:

1) EMS MDMedical Director;

2) Resource, Associate or Participating Hospital, or their specific roles;


18



3) System service area;

4) Written standing orders and policies;

5) Method or methodsMethod(s) of providing EMS services;

6) Additional vehicle service providers, or changes in their levels of service,

specific roles or response areas;

7) Access and dispatch procedures and mechanisms;

8) Communications plan;

9) Equipment and drug requirements;

10) EducationTraining, continuing education and/or examination

requirements;

11) Quality assurance policies;

12) Data collection and evaluation policies;

13) Override or bypass/diversion policies;

14) Disciplinary or suspension policies or procedures.

l) All EMS Systems in existence upon the adoption of this Section shall submit to

the Department a revised Program Plan that conforms to the requirements of this

Part. The Department will approve Program Plans that meet the requirements of

this Part and will establish renewal dates for EMS System approval.


Section 515.320 Scope of EMS Service

a) All Basic Life Support (BLS), Intermediate Life Support (ILS), and Advanced

Life Support (ALS) services, and CCT, as defined in the Act, shall be provided

through EMS Systems. An individual System shall operate at one or more of


18



those levels of service, as specified in its Program Plan and the Department's

letter of approval, using vehicles licensed by the Department pursuant to the Act

and this Part.

b) All pre-hospital, inter-hospital and non-emergency medical care, as defined in the

Act, shall be provided through EMS Systems, using the levels of Department

licensed or approved personnel required by the Act and this Part.

c) An EMS System shall designate a Resource Hospital, which shall have the

authority and responsibility for the System, through the EMS MDMedical

Director, as described in the Act, this Part and the System Program Plan.

d) All other hospitals thatwhich are located within the geographic boundaries of a

System and thatwhich have standby, basic or comprehensive level emergency

departments must function in that System as either an Associate Hospital or

Participating Hospital and follow all System policies specified in the System

Program Plan, including, but not limited to, the replacement of drugs and

equipment used by providers who have delivered patients to their emergency

departments. (Section 3.20(b) of the Act)

1) All hospitals shall be formally affiliated with a System. A hospital may

have a secondary affiliation with another System or may request a waiver

to participate in a System other than that in which the hospital is

geographically located. (See Section 515.150(d)(5).)

2) Every System Hospitalhospital shall identify the level of its emergency

department services in its letter of commitment, which is part of the EMS

System Program Plan to be submitted to the Department.

3) An "Associate Hospital" shall provide the same clinical and

communications services as the Resource Hospital, but shall not have the

primary responsibility for personnel educationtraining and System

operations. It shall have a basic or comprehensive emergency department

with 24-hour physician coverage and a functioning intensive care and/or

cardiac care unit.

4) AllA "Participating HospitalsHospital" shall maintain ambulance to

hospital communications capabilities that, at a minimum, include MERCI

radio and comply with the Resource Hospital's communication planmay or


18



may not have communications/monitoring capabilities.

5) All System Hospitalshospitals shall agree to replace medical supplies and

provide for equipment exchange for System vehicles.

6) All Resource and Associate HospitalsSystem hospitals monitoring

telecommunications from EMS field personnel shall provide voice orders

either by the EMS MDMedical Director, a physician appointed by the

EMS MDMedical Director, or an Emergency Communications Registered

Nurse (ECRN).

7) All System Hospitalshospitals shall allow the Department, the EMS

MDMedical Director and EMS System Coordinator access to all records,

equipment, vehicles and personnel during their activities evaluating the

Act and this Part.

e) The Resource Hospital shall appoint an EMS MDMedical Director (EMSMD).

The EMS MD forFor an ILS or ALS or CCT level EMS System the EMSMD shall

be a physician licensed to practice medicine in all of its branches in Illinois, and

shall be certified by the American Board of Emergency Medicine or the American

Osteopathic Board of Osteopathic Emergency Medicine, and, for a BLS level

EMS System, the EMS MDEMSMD shall be a physician licensed to practice

medicine in all of its branches in Illinois, with regular and frequent involvement

in pre-hospital emergency medical services. In addition, all EMS MDs shall:

1) Have experience on an EMS vehicle at the highest level available within

the System, or make provision to gain such experience within 12 months

prior to the date responsibility for the System is assumed or within 90 days

after assuming the position; and

2) Be thoroughly knowledgeable of all skills included in the scope of

practices of all levels of EMS Personnelpersonnel within the System; and

3) Have or make provision to gain experience instructing students at a level

similar to that of the levels of EMS Personnelpersonnel within the System;

and

4) For ILS and ALS EMS MDsMedical Directors, successfully complete a

Department-approved EMS MD'sMedical Director's Course. (Section


18



3.20(c)(1 through 6) of the Act)

f) The EMS MDMedical Director shall appoint an alternate EMS MDMedical

Director and establish a written protocol addressing the functions to be carried

out in his or her absence. (Section 3.35(b) of the Act)

g) An EMS System utilizing Specialized Emergency Medical Service Vehicles

(SEMSVs) shall appoint and/or approve the SEMSV Medical DirectorsDirector(s)

to manage and direct the use of SEMSVs and their personnel within the System.

He or she shall be a physician who has met at least the following qualifications:

1) One or more of the following:

A) Certified by the American Board of Emergency Medicine (ABEM)

or American Osteopathic Board of Emergency Medicine

(AOBEM) through the American Osteopathic Association (AOA);

or

B) Completion of a residency in emergency or osteopathic emergency

medicine as prescribed by one of the above Boards listed in

subsection (g)(1)(A); or

C) Completion of a 12-month internship followed by 60 months plus

7,000 hours of hospital based emergency or osteopathic emergency

medicine (2,800 of the 7,000 hours must be completed within one

24-month period), and documentation of 50 hours of related

continuing education for each complete year of practice; and

2) Completion of advanced cardiac life support and advanced trauma life

support courses; and

3) For aircraft programs, completion of educationtraining covering inflight

treatment modalities, altitude physiology, and infection; and

4) For watercraft programs, completion of educationtraining covering diving

accident physiology and treatment, and drowning in cold, warm, fresh and

salt water.

h) The Resource Hospital shall appoint a full-time EMS System Coordinator, who


18



shall be responsible for coordinating the educational and functional aspects of the

System, as described in the Program Plan. He or she shall be an RN a Registered

Professional Nurse or ParamedicEMT-P licensed in the State of Illinois, and meet

at least the following qualifications:

1) Be educatedtrained and knowledgeable in all principles of the National

EMS Education Standards;dysrhythmia identification and treatment,

2) Have a diverse background in emergencycritical care. For EMS Systems

with CCT program plans, the System Coordinator shall have knowledge of

or obtain education regarding critical care standards within six months;,

and

3) Within one year after being appointed, complete in-field observation

and/or participation on at least 10 ambulance runs at the highest level of

service provided by the System.

i) The Resource Hospital shall appoint an EMS Administrative Director, who shall

be responsible for administrative leadershipoperations of the System as described

in the Program Plan.

j) To avoid any conflict of interest, the EMS MDMedical Director, EMS System

Coordinator and EMS Administrative Director shall notify the Department in

writing of any association with an ambulance service provider through

employment, contract, ownership, or otherwise specifying how he or she is

answerable to or directed by thesuch ambulance service provider concerning any

matter falling within the scope of the Act or this Part. The Department shall

review and address potential or actual conflicts of interest on a case-by-case basis.

k) The Resource Hospital must identify the EMS System in the facility's budget,

with sufficient funds to support the EMS MD, EMS Administrative Medical

Director, EMS System Coordinator, and support staff and to provide for the

operation of the EMS System.

l) All EMS Resource Hospitals shall obtain recognition as an SEDP, EDAP or

PCCC. All Illinois hospitals are encouraged to obtain and maintain SEDP or

EDAP status.



18



Section 515.330 EMS System Program Plan

An EMS System Program Plan shall contain the following information:

a) The name, address and fax number of the Resource Hospital;

b) The names and resumes of the following persons:

1) The EMS MD;

2) The Alternate EMS MD;

3) The EMS Administrative Director;

4) The EMS System Coordinator;

c) The name, address and fax number of each Associate or Participating Hospital

(see subsection (i));

d) The name and address of each ambulance provider participating within the EMS

System;

e) A map of the EMS System's service area indicating the location of all hospitals

and ambulance providers participating in the System;

f) Current letters of commitment from the following persons at the Resource

Hospital that, which describe the commitment of the writer and his or her office to

the development and ongoing operation of the EMS System, and thatwhich state

the writer's understanding of and commitment to any necessary changes, such as

emergency department staffing and educational requirements:

1) The Chief Executive Officer of the hospital;

2) The Chief of the Medical Staff; and

3) The Director of the Nursing Services;


18



g) A letter of commitment from the EMS MD that describes the EMS MD's

agreement to:

1) Be responsible for the ongoing education of all System personnel,

including didactic and clinical experience;

2) Develop and authorize written standing orders (treatment protocols,

standard operating procedures) and certify that all involved personnel will

be knowledgeable and competent in emergency care;

3) Be responsible for supervising all personnel participating within the

System, as described in the System Program Plan;

4) Develop or approve one or more patient care reports covering all types of

patient care responses performed by System providers;

5) Ensure that the Department has access to all records, equipment and

vehicles under the authority of the EMS MD during any Department

inspection, investigation or site survey;

6) Notify the Department of any changes in personnel providing pre-hospital

care in accordance with the EMS System Program Plan approved by the

Department;

7) Be responsible for the total management of the System, including the

enforcement of compliance with the System Program Plan by all

participants within the System;

8) Direct the applicant to the IDPH EMS website for access to an

independent renewal form for EMS Personnel within the System who have

not been recommended for relicensure by the EMS MD; and

9) Be responsible for compliance with the provisions of Sections 515.400

and 515.410;

h) A description of the method of providing EMS services, which includes:

1) Single vehicle response and transport;


18



2) Dual vehicle response;

3) Level of first response vehicle;

4) Level of transport vehicle;

5) A policy that describes in-field service level upgrade, using advanced

level EMS vehicle service providers;

6) A policy that describes ambulance service provider and vehicle service

provider upgrade – rural population (optional);

7) Use of mutual aid agreements; and

8) Informing the caller requesting an emergency vehicle of the estimated

time of arrival when this information is requested by the caller;

i) A letter of commitment from each Associate Hospital, Participating Hospital or

Veterans Health Administration facility within the System that, which includes

the following:

1) Signed statements by the hospital's Chief Executive Officer, Chief of the

Medical Staff and Director of the Nursing Service describing their

commitments to the standards and procedures of the System;

2) A description of how the hospital will relate to the EMS System Resource

Hospital, its involvement in the ongoing planning and development of the

program, and its use of the education and continuing education aspects of

the program;

3) Only at an Associate Hospital, a commitment to meet the System's

educational standards for ECRNs;

4) An agreement to provide exchange of all drugs and equipment with all

pre-hospital providers participating in the System or other EMS

Systemsystem whose ambulances transport to them;

5) An agreement to use the standard treatment orders as established by the

Resource Hospital;


18



6) An agreement to follow the operational policies and protocols of the

System;

7) A description of the level of participation in the educationtraining and

continuing education of EMS Personnelpersonnel;

8) An agreement to collect and provide relevant data as determined by the

Resource Hospital;

9) A description of the hospital's data collection and reporting methods and

the personnel responsible for maintaining all data;

10) An agreement to allow the Department access to all records, equipment

and vehicles relating to the System during any Department inspection,

investigation or site survey;

11) If the hospital is a participant in another System, a description of how it

will interact within both Systems and how it will ensure that

communications interference as a result of this dual participation will be

minimized; and

12) The names and resumes of the Associate Hospital EMS MD and Associate

Hospital EMS Coordinator;

j) A letter of commitment from each ambulance provider participating within the

System that, which indicates compliance with Section 515.810;

k) Descriptions and documentation of each communications requirement provided in

Section 515.400;

l) The Program Plan shall consist of the EMS System Manual, which shall be made

accessible to all System Participantsparticipants and shall include the following

Sections:

1) Education

A) Curricula and standards for all education programs for EMS

Personnel offered or authorized within the System shall be


18



consistent with national EMS education standards, including any

necessary transitional or bridge education to align System

personnel with the current national EMS education standards.:

B) Education, testing and credentialing requirements for ECRN and

PHRN.

C) Continuing education for EMS Personnel, including:

i) System requirements (hours, types of content, etc.);

ii) A plan for measurement of ongoing competency for all

System Participantsparticipants (i.e., quality assurance);

iii) Requirements for approval of academic course work;

iv) Didactic programs offered by the System;

v) Clinical opportunities available within the System; and

vi) Recordkeeping requirements for participants, which must

be maintained at the Resource Hospital.

D) Renewal Protocols

i) System examination requirements for EMS Personnel;

ii) Procedures for approval and the renewal of EMS

Personnel;

iii) Requirements for submission of transaction cards for EMS

Personnel meeting renewal requirements; and

iv) Department renewal application forms for EMS Personnel

who have not met renewal requirements according to

System records.

E) System Participantparticipant education and information,

including:


18



i) Distribution of System Manual amendments;

ii) In-services for policy and protocol changes;

iii) Methods for communicating updates on System and

regional activities, and other matters of medical, legal

and/or professional interest; and

iv) Locations of library/resource materials, forms, schedules,

etc.

F) A plan that describes how Emergency Medical dispatch agencies

and EMRsFirst Responders/Emergency Medical Responder

participate within the EMS System Program Plan (see Sections

515.710 and 515.725515.720).

G) A System may require that up to one-half of the continuing

education hours that are required toward relicensure, as determined

by the Department, be earned through attendance at Systemsystem-

required courses.

H) A didactic continuing education offering or /course that has

received a State site code or has been approved by other

Department-approved national accrediting bodies shall be accepted

by the System, subject only to the requirements of subsection

(l)(1)(C).

2) Drugs and Equipment

A) A list of all drugs and equipment required for each type of System

vehicle; and

B) Procedures for obtaining replacements at System hospitals; and.

C) Policies for appropriate storage and security of medications.

3) Personnel Requirements for EMS Personnel


18



A) Minimum staffing for each type and level of vehicle; and

B) Guidelines for EMS Personnel patient interaction.

4) EMSIn-Field Protocols, including medical-legal policies, but not limited

to:

A) The Regional Standing Medical Orders;

B) Administrative, Legal and EMS Protocols and Guidelines System

Standing Medical Orders as listed in Section 515.(Appendix D)., to

include Department-approved protocols for medical treatment,

including, but not limited to, burns, hypothermia, respiratory

distress, shock, trauma, cardiac arrest, stroke and toxic exposure

(e.g., Department-approved BLS medical treatment protocol,

EMSC medical treatment protocol) at a minimum;

C) Appropriate interaction with law enforcement on the scene;

D) When and how to notify a coroner or medical examiner;

E) Appropriate interaction with an independent physician/nurse on the

scene;

F) The use of restraints;

G) Consent for treatment of minors;

H) Patient choice and refusal regarding treatment, transport or

destination;

I) The duty to perform all services without unlawful discrimination;

J) Offering immediate and adequate information regarding services

available to victims of abuse, for any person suspected to be a

victim of domestic abuse;

K) Patient abandonment;


18



L) Emotionally disturbed patients;

M) Patient confidentiality and release of information;

N) Durable power of attorney for health care;

O) Do Not Resuscitate (DNR) orders (see Section 515.380);

P) A policy concerning the use of latex-free supplies; and

Q) A policy that addresses the treatment, follow-up and transport of

patients with suspected or diagnosed infectious diseases.

5) Communications standards and protocols, including:

A) The information contained in the System Program Plan relating to

the requirements of Sections 515.410(a)(1), (2), (3) and (4) and

515.390(b) and (c)(g);

B) Protocols ensuring that physician direction and voice orders to

EMS vehicle personnel and other hospitals participating in the

System are provided from the operational control point of the

Resource or Associate Hospital;

C) Protocols ensuring that the voice orders via radio and using

telemetry shall be given by or under the direction of the EMS MD

or the EMS MD's designee, who shall be either an ECRN or

physician; and

D) Protocols defining when an ECRN should contact a physician.

6) Quality improvement measures for both adult and pediatric patient care

shall be performed on a quarterly basis and be available upon Department

request; ambulance operation and System educationaltraining activities,

including, but not limited to, monitoring educationaltraining activities to

ensure that the instructions and materials are consistent with national EMS

educationUnited States Department of Transportation training standards

for EMTs and Section 3.50 of the Act; unannounced inspections of pre-

hospital services; and peer review.


18



7) Data collection and evaluation methods that include:

A) The process that will facilitate problem identification, evaluation

and monitoring in reference to patient care and/or reporting

discrepancies from hospital and pre-hospital providers;

B) A copy of the pre-hospital reporting form; and

C) A sample of the information and data to be reported to the

Department summarizing System activity (see Section 515.350).

8) Operational policies that delineate the respective roles and responsibilities

of all providers in the System regarding the provision of emergency

service, including policies identified in Appendix D.:

A) Resource Hospital overrides (situations in which Associate

Hospital orders are overruled by the Resource Hospital);

B) Infectious disease and disinfection procedures, including the policy

on health care worker exposure to an infectious disease;

C) Reporting and documenting problems; and

D) Protocols for A-EMT/ILS/ALS System personnel to assess the

condition of a patient being initially treated in the field by BLS

personnel, for the purpose of determining whether a higher level of

care is warranted and transfer of care of the patient to the A-EMT,

ILS or ALS personnel is therefore appropriate. The protocols shall

include a requirement that neither the assessment nor the transfer

of care can be initiated if it would appear to jeopardize the patient's

condition, and shall require that the activities of the System

personnel be under the immediate direction of the EMS MD or

designee.

9) Any procedures regarding disciplinary or suspension decisions and the

review of those decisions that the System has elected to follow in addition

to those required by the Act.


18



10) Any System policies regarding abuse of controlled substances or

conviction of a felony crime by System personnel whether on or off duty.

11) The responsibilities of the EMS System Coordinator, as designated by the

EMS MD, including, but not limited to, data evaluation, quality

management, complaint investigation, supervision of all didactic and

clinical education and field experiences, and physician and nurse

education as required.

912) Each EMS System shall develop an administrative policy that provides the

IDPH Division of EMS and Highway Safety and its State Regional EMS

Coordinator with notification the next business day when an Illinois

licensed EMS crew member is killed in the line of duty.

1013) The responsibilities of the EMS MD.;

11) The responsibilities of the Alternate EMS MD.

12) The responsibilities of the EMS Administrative Director.

13) The responsibilities of the EMS System Coordinator, as designated by the

EMS MD and Resource Hospital, including, but not limited to, data

evaluation, quality management, complaint investigation, supervision of

all didactic education, clinical and field experiences, and physician and

nurse education as required by Section 515.320(h);

m) Written protocols for the bypassing of or diversion to any hospital, trauma center

or regional trauma center, Comprehensive Stroke Center, Primary Stroke Center,

Acute Stroke-Ready Hospital or Emergent Stroke Ready Hospital, which provide

that a person shall not be transported to a facility other than the nearest hospital,

regional trauma center or trauma center, Comprehensive Stroke Center, Primary

Stroke Center, Acute Stroke-Ready Hospital or Emergent Stroke Ready Hospital

unless the medical benefits to the patient reasonably expected from the provision

of appropriate medical treatment at a more distant facility outweigh the increased

risks to the patient from transport to the more distant facility, or the transport is

in accordance with the System's protocols for patient choice or refusal. (Section

3.20(c)(5) of the Act) The bypass status policy shall include criteria to address

how the hospital will manage pre-hospital patients with life threatening conditions

within the hospital's then-current capabilities while the hospital is on bypass


18



status. In addition, a hospital can declare a resource limitation, which is further

outlined in the System Plan, for the following conditions:

1) There are no critical or monitored beds available in the hospital; or

2) An internal disaster occurs in the hospital;

n) Bypass status may not be honored if three or more hospitals in a geographic area

are on bypass status and transport time by an ambulance to the nearest facility

exceeds 15 minutes;

o) Each hospital shall have a policy addressing peak census procedures, such as the

model policy developed by the Department.


Section 515.350 Data Collection and Submission

a) A patient care run report shall be completed by each Illinois-licensed transport

vehicle service provider for every inter-hospital transport and pre-hospital

emergency call, regardless of the ultimate outcome or disposition of the call.pre-

hospital or inter-hospital transport and for refusal of care.

1) One patient care report shall be provided (paper or electronic) tocopy shall

be left with the receiving hospital emergency department, trauma center or

health care facility before leaving this facility.

2) Each EMS SystemResource Hospital shall designate or approve the

patient care reporta single form to be used by all of its transport vehicle

providers. The reportIt shall containbe a form that contains the minimum

requirements prescribed data elements listed in Section 515.Appendix E of

this Part.

b) All non-transport vehicle providers shall document all medical care provided and

shall submit the documentation to the EMS System within 24 hours. The EMS

SystemResource Hospital shall review all medical care provided by non-transport

vehicles and shall provide a report to the Department upon request.

c) The transport vehicleambulance provider shall submit patient carethe run report


18



data to the EMS SystemResource Hospital. When an EMS System is unable to

import data from one or more providers, those providers may, with EMS System

approval, submit their patient care report data directly to the Department. The

Department will make the patient care report data available to the EMS System

upon request. Every EMS System and EMS provider approved to submit data

directly shall electronically submit all patient care report data to the Department

by the 15th day of each month. The monthly report shall contain the previous

month's patient care report data. Third party software shall be validated by the

Department to ensure compatibility with the Department's data specifications.

Third party software shall not be used until the Department's validation is

complete.Each Resource Hospital shall submit a data report to the Department on

March 1, June 1, September 1, and December 1 of each year, covering run report

data from the preceding quarter. The report shall be in one of the following

formats:

1) Copies of a scannable run report form, or

2) A data diskette containing the prescribed data elements.

A) The data elements shall be in a format compatible with the

Department's data base input specifications, and

B) Department review and approval of data format compatibility is

required prior to submission.

d) When computer technology is available, each Resource Hospital shall develop

and implement a mechanism for linking pre-hospital and inter-hospital run reports

with emergency department, trauma center and admission records from the

hospitals that receive emergency patients within the System. This mechanism

shall facilitate tracking of case outcomes for purposes of internal quality control,

medical study and improvement of both adult and pediatric patients.


Section 515.360 Approval of Additional Drugs and Equipment

a) All drugs and equipment, other than those covered by the national EMS education

standards, as modified by the Department,United States Department of

Transportation National Standard Curriculum for each EMT level of licensure,


18



must be approved by the Department in accordance with subsections (b), (c) and

(d) of this Section before being used in a System.

b) To apply for approval to add drugs and/or equipment, the EMS MD shall submit

to the Department documentation covering the following:

1) The educationTraining program for all additional psychomotor

skillsincluding a description of practical training for equipment and the

number of continuing educationcontact hours;

2) A curriculum for each additionalnew drug, psychomotor skill, or

equipment or device, which includes at least the following (as applicable):

A) Objectives;Usage,

B) Methods and materials;Complications,

C) Content, which shall include, but not be limited to, usage,

complications, adverse reactions, and equipment maintenance and

use;Adverse reactions,

D) Evidence-based standards and guidelines relevant to the

proposalEquipment maintenance and use; and

E) Evaluation of learning; and

3) New written standing orders.

c) Upon receipt of the application from the System, the Director or his or herhis/her

designee shall either approve the drug and/or equipment, approve the drug and/or

equipment on a conditional basis, or disapprove the drug and/or equipment. The

Director's or /designee's decision shall be based on a review and evaluation of the

documentation submitted under subsection (b) of this Section; the application of

technical and medical knowledge and expertise; consideration of relevant

literature and published studies on the subject; and whether the drug and/or

equipment has been reviewed or tested in the field. The Director may seek the

recommendations of medical specialists and/or other professional consultants to

determine whether to approve or disapprove the specific drug or drugs ordrug(s)

and/or equipment.


18



d) The Director or designee shall consider whether the drugs and equipment may be

used safely and with proper educationtraining by the pre-hospital care provider

and shall disapprove any drugs and/or equipment that he or shehe/she finds are

generally unsafe or dangerous in the pre-hospital care setting.

e) When a drug and/or equipment is approved on a conditional basis, the System

shall submit to the Department, on a quarterly basis (January 1, April 1, July 1

and October 1) the following information:

1) Indications for use;

2) Number of times used;

3) Number and types of complications that occurred;

4) Outcome of patient after use of drug and/or equipment; and

5) Description of follow-up actions taken by the System on each case in

which complications occurred.

f) When a death or complication that results in a deterioration of a patient's

condition occurs, involving a drug and/or equipment approved on a conditional

basis, the System shall notify the Department within three business days, followed

by a written report of the situation submitted to the Department within 10

business days.

g) Failure of the System to submit the information required under subsection (e) of

this Section shall be considered as a basis for withdrawal of approval of the drug

or equipment on a conditional basis. Failure of the System to notify the

Department as required under subsection (f) of this Section shall be considered as

a basis for withdrawal of approval of the drug or equipment on a conditional

basis.

h) The Director or designee shall evaluate the information submitted under

subsection (e) of this Section and any notification required under subsection (f) of

this Section. The Department will notify the System that a drug or equipment is

disapproved and may no longer be performed on a conditional basis when the

evaluation of the information submitted pursuant to this subsection (h) indicates


18



that the safety of the drug or equipment has not been established for use in the

pre-hospital setting.

i) An EMS MDEMSMD shall not approve EMS Personnelan EMT to use new drugs

or equipment unless that individualEMT has completed the Department- and

System-approved educationtraining program and examination, and has

demonstrated the required knowledge and skill to use that interventiondrug or

equipment safely and effectively.

j) An EMS MDEMSMD shall not be required to provide education on new

interventionsdrug or equipment training to EMS PersonnelSystem EMTs who will

not be using the new interventionsdrugs or equipment.

k) The Department may share best practice models with proven efficacy with the

EMS System EMS MDs.


Section 515.380 Do Not Resuscitate (DNR) and Practitioner Orders for Life-Sustaining

Treatment (POLST) Policy

a) A System shall adopt a Regional standardized DNR and POLST policy for use by

System personnel. The policy shall be implemented only after it has been

reviewed and approved by the Department, in accordance with the requirements

of this Section. For purposes of this Section, DNR refers to the withholding of

cardiopulmonary resuscitation (CPR) and cardiocerebral resuscitation (CCR);

electrical therapy to include pacing, cardioversion and defibrillation; invasive

airway management and manually or mechanically assisted ventilations, unless

otherwise stated on the IDPH Uniform POLSTDNR Advance Directive. POLST

refers to the recording of a person's desires for life-sustaining treatment and

palliative care.

b) The policy shall include, but not be limited to, specific procedures and protocols

for cardiac arrest/DNR situations arising in long-term care facilities, with hospice

and home care patients, and with patients who arrest during inter-hospital

transfers or transportation to or from home.

c) The policy shall include specific procedures and protocols for withholding CPR

and CCR in situations where explicit signs of biological death are present (e.g.,


18



decapitation, rigor mortis without profound hypothermia, profound dependent

lividity), or the patient has been declared dead by a coroner/medical examiner or

the patient's physician. The policy shall include recording such information on

the patient care report.

d) The policy shall include specific procedures and protocols for a person's desire for

life-sustaining treatment and palliative care.

ed) For situations not covered by subsection (c) of this Section, the policy shall

require that resuscitative procedures be followed unless a valid IDPH Uniform

POLST advance directiveDNR Advance Directive is present.

fe) The Department of Public Health Uniform POLST form,DNR Advance Directive

or a copy of that form,Advance Directive shall be honored. (Section 3.57 of the

Act) If the Department Uniform DNR Advance Directive is reproduced, it is

recommended that brightly colored paper be used. Systems shall also have a

policy in place concerning recognition of other DNR and POLST advance

directivesAdvance Directives. The information required on the Department

Uniform POLST advance directiveDNR Advance Directive includes, but is not

limited to, the following items:

1) Name of the patient;,

2) Name and signature of authorized practitioner;attending physician,

3) Effective date;,

4) The phrase words "Do Not Resuscitate" or "Practitioner Orders for Life-

Sustaining Treatment" or both;,

5) Evidence of consent:

A) signature of patient; or

B) signature of legal guardian; or

C) signature of durable power of attorney for health care agent; or

D) signature of surrogate decision-maker.


18



gf) A living will by itself cannot be recognized by pre-hospital care providers.

hg) Revocation of a written DNR or POLST Advance Directive shall be made only in

one or more of the following ways:

1) The advance directiveAdvance Directive is physically destroyed by the

authorized practitionerphysician who signed the advance

directiveAdvance Directive or by the person who gave written consent to

the advance directiveAdvance Directive; or

2) The advance directiveAdvance Directive is verbally rescinded by the



the advance directiveAdvance Directive, and the word "VOID" is written

in large letters across the front of the advance directiveAdvance Directive,

and the advance directiveAdvance Directive is signed and dated by the



the advance directiveAdvance Directive.

ih) A System's DNR and POLST policy shall require System personnel to make a

reasonable attempt to verify the identity of the patient (for example, identification

by another person or an identifying bracelet) named in a valid DNR or POLST

advance directiveAdvance Directive.

ji) The policy shall describe the roles of the on-line medical control physician and

ECRN in DNR or POLST situations.

kj) The policy shall state which System EMS Personnelpersonnel are authorized to

respond to a valid DNR or POLST advance directiveAdvance Directive

(Paramedic, PHRN, A-EMTEMT-P, EMT-I, EMTEMT-B, Pre-hospital RN, First

Responder (FR), EMRFirst Responder/Automated External Defibrillator

(FR/AED)).

lk) The policy shall cross-reference the System's coroner/medical examiner

notification policy.

ml) The policy shall describe the System's program for educating System personnel


18



concerning the DNR or POLST policy.

nm) The policy shall identify the quality assurance measures specific to this policy,

including the methods and periods of review.


Section 515.390 Minimum Standards for Continuing Operation

a) The Resource Hospital and all System Participantsparticipants shall comply with

the terms of the EMS System Program Plan, the System Manual, their respective

letters of commitment, and any applicable provisions of the Act or this Part.

b) All System EMS personnel, provider agencies and licensed vehicle

ownerspersonnel and ambulances are responsible for and shall maintain

currenttheir certifications, licenses and approvals.

c) In accordance with Section 515.160 of this Part, the Department may suspend,

revoke or refuse to issue or renew the approval of any EMS System when its

findings show that the System is in violation of one or more of the requirements

of the Act and this Part.

1) SuspensionSuch suspension, revocation or refusal to renew shall be

preceded by notice and an opportunity for a hearing served upon the EMS

MDMedical Director by certified mail, or personal service or confirmed

facsimile.

2) The notice shall set forth the reasons for the proposed suspension or

revocation and shall afford the EMS MDMedical Director 15 days from

the date of receipt to make a written request for an administrative hearing.

The EMS MD'sEMSMD's failure to file a written request for a hearing

within 15 days shall be considered a waiver of the System's right to a

hearing on the proposed suspension, revocation, or refusal.

3) All hearings shall be conducted in accordance with the Department's Rules

of Practice and Procedure for Administrative Hearings (77 Ill. Adm. Code

100).



18



Section 515.420 System Participation Suspensions

a) An EMS MDEMS Medical Director may suspend from participation within the

System any EMS Personnel, EMS Lead Instructor (LI), individual, individual

provider or other participant considered not to be meeting the requirements of the

Program Plan of that approved EMS System. (Section 3.40(a) of the Act)

b) Except as allowed in subsection (l) of this Section, the EMS MDMedical Director

shall provide the individual, individual provider or other participant with a written

explanation of the reason for the suspension; the terms, length, and condition of

the suspension; and the date the suspension will commence, unless a hearing is

requested. The procedure for requesting a hearing within 15 days through the

Local System Review Board shall be provided.

c) Failure to request a hearing within 15 days shall constitute a waiver of the right to

a Local System Review Board hearing.

d) The Resource Hospital shall designate the localLocal System review board, for

the purpose of providing a hearing to any individual or entity participating within

the System who is suspended from participation by the EMS MD. (Section

3.40(e) of the Act) The review board will consistReview Board, consisting of at

least three members, one of whom is an emergency department physician with

knowledge of EMS, one of whom is an EMT and one of whom is of the same

professional category as the individual, individual provider or other participant

requesting the hearing. (Section 3.40(e) of the Act) The EMS MDMedical

Director shall prepare and post, in a 24-hour accessible location at the Resource

Hospital, the System Review Board List.

e) The hearing shall commence as soon as possible, but at least within 21 days after

receipt of a written request. The EMS MDMedical Director shall arrange for a

certified shorthand reporter to make a stenographic record of that hearing and

thereafter prepare a transcript of the proceedings. The transcript, all documents

or materials received as evidence during the hearing and the localLocal System

review board'sReview Board's written decision shall be retained in the custody of

the EMS System. The System shall implement a decision of the localLocal System

review boardReview Board unless that decision has been appealed to the State

Emergency Medical Services Disciplinary Review Board in accordance with the

Act and this Part. (Section 3.40(e) of the Act)


18



f) The localLocal System review boardReview Board shall state in writing its

decision to affirm, modify or reverse the suspension order. ThatSuch decision

shall be sent via certified mail or personal service to the EMS MDMedical

Director and the individual, individual provider or other participant who requested

the hearing within five business days after the conclusion of the hearing.

g) The transcripts, all documents or materials received as evidence during the

hearing and the Local System Review Board's written decision shall be retained in

the custody of the EMS System.

gh) The EMS MDMedical Director shall notify the Department, in writing, within

five business days after the Board's decision to either uphold, modify or reverse

the EMS MD'sMedical Director's suspension of an individual, individual provider

or participant. The notice shall include a statement detailing the duration and

grounds for the suspension.

hi) If the localLocal System review boardReview Board affirms or modifies the EMS

MD'sMedical Director's suspension order, the individual, individual provider or

other participant shall have the opportunity for a review of the local board'sLocal

Board's decision of the State EMS Disciplinary Review Board. (Section

3.40(b)(1) of the Act)

ij) If the localLocal System review boardReview Board reverses or modifies the EMS

MD'sMedical Director's suspension order, the EMS MDMedical Director shall

have the opportunity for review of the local board'sLocal Board's decision by the

State EMS Disciplinary Review Board. (Section 3.40(b)(2) of the Act)

jk) Requests for review by the State EMS Disciplinary Review Board shall be

submitted in writing to the Chief of the Department's Division of Emergency

Medical Services and Highway Safety, within 10 days after receiving the local

board'sLocal Board's decision or the EMS MD'sMedical Director's suspension

order, whichever is applicable. A copy of the Board's decision or the suspension

order shall be enclosed. (Section 3.45(h) of the Act)

kl) An EMS MDMedical Director may immediately suspend an EMR, EMD, EMT,

EMT-I, A-EMT, Paramedic, ECRN, PHRN, LI, or other individual or entityan

individual, individual provider or other participant if he or she finds that the

information in his or her possession indicates that the continuation in practice by


18



the individual or entityan EMT or other provider would constitute an imminent

danger to the public. The suspended individual or entityEMT or other provider

shall be issued an immediate verbal notification, followed by a written suspension

order to the EMT or other provider by the EMS MD thatMedical Director which

states the length, terms and basis for the suspension. (Section 3.40(c) of the Act)

1) Within 24 hours following the commencement of the suspension, the EMS

MDMedical Director shall deliver to the Department, by messenger, or

telefax, or other Department-approved electronic communication, a copy

of the suspension order and copies of any written materials thatwhich

relate to the EMS MD'sMedical Director's decision to suspend the

individual or entityEMT or provider.

2) Within 24 hours following the commencement of the suspension, the

suspended individual or entityEMT or provider may deliver to the

Department, by messenger, or telefax, or other Department-approved

electronic communication, a written response to the suspension order and

copies of any written materials thatwhich the individual or entityEMT or

provider feels are appropriaterelate to that response.

3) Within 24 hours following receipt of the EMS MD'sMedical Director's

suspension order or the individual's or entity'sEMT's or provider's written

response, whichever is later, the Director or the Director's designee shall

determine whether the suspension should be stayed pending anthe EMT's

or provider's opportunity for a hearing or review in accordance with the

Act, or whether the suspension should continue during the course of that

hearing or review. The Director or the Director's designee shall issue this

determination to the EMS MDMedical Director, who shall immediately

notify the suspended individual or entityEMT or provider. The suspension

shall remain in effect during this period of review by the Director or the

Director's designee. (Section 3.40(c) of the Act)


Section 515.450 Complaints

a) For the purposes of this Section, "complaint" means a report of an alleged

violation of the Act or this Part by any System Participants participants and/or

providers covered under the Act, or members of the public. Complaints shall be


18



defined as problems related to the care and treatment of a patient.

b) A person who believes that the Act or this Part may have been violated may

submit a complaint by means of a telephone call, letter, fax, or in person. An oral

complaint will be reduced to writing by the Department. The complainant is

requested to supply the following information concerning the allegation:

1) Date and time or shift of occurrence;

2) Names of the patient, EMS Personnelpersonnel, entities, family members,

and other persons involved;

3) Relationship of the complainant to the patient or to the provider;

4) Condition and status of the patient; and

5) Details of the situation; and.

6) The name of the facility where the patient was taken.

c) All complaints shall be submitted to the Department's Central Complaint Registry

or to the EMS MD.Medical Director (EMSMD). If the complaint involves a

trauma patient, the complaint shall also be submitted to the Trauma Center

Medical Director along with the EMSMD. Complaints received by the EMS

MDEMSMD or Trauma Center MDMedical Director shall be forwarded to the

Department's Central Complaint Registry within five working days after receipt

of the complaint. Complaints received by the Department shall be forwarded to

the EMSMD or Trauma Center Medical Director. The substance of the complaint

shall be provided in writing to the System participant or provider no earlier than at

the commencement of an on-site investigation pursuant to subsection (e) of this

Section.

d) The Department and the EMS MDEMSMD or Trauma Center MDMedical

Director shall not disclose the name of the complainant unless the complainant

consents in writing to the disclosure.

e) The Department mayshall conduct a jointan investigation jointly with the EMS

MDEMSMD, EMS Coordinator or Trauma Center MDMedical Director if a death

or serious injury has occurred or there is imminent risk of death or serious injury,


18



or if the complaint alleges action or conditions that could result in a denial, non-

renewal, suspension, or revocation of licensure or designation. If the complaint

alleges a violation by the EMS MDEMSMD, EMS Coordinator or Trauma Center

MDMedical Director, the Department shall conduct the investigation. If the

complaint alleges a violation that would not result in licensure or designation

action, the Department shall forward the complaint to the EMS MDEMSMD or

Trauma Center MDMedical Director for review and investigation. The EMS

MDEMSMD or Trauma Center MDMedical Director may request the

Department's assistance at any time during an investigation. In the case of a

complaint between EMS Systems, the Department will be involved as mediator or

lead investigator.

f) The EMS MDEMSMD or Trauma Center Director shall forward the results of the

investigation and any disciplinary action resulting from a complaint to the

Department. Documentation of the investigation shall be retained at the hospital

in accordance with EMS System improvement policies and shall be available to

the Department upon request. The investigation file shall be considered

privileged and confidential in accordance with the Medical Studies Act [735 ILCS

5/8-2101].

g) Based on the information submitted by the complainant and the results of the

investigation conducted in accordance with subsection (e) of this Section, the

Department will determine whether the Act or this Part is being or has been

violated. The Department will review and consider any information submitted by

the System participant or provider in response to an investigation.

h) The Department willshall have final authority in the disposition of a complaint.

Complaints shall be classified as "violation", "no violation""valid", "invalid", or

"undetermined".

i) The Department willshall inform the complainant and the System

Participantparticipant or provider of the complaint results (i.e., whether the

complaint was found to be a violation, no violationvalid, invalid, or

undetermined) within 20 days after its determination.

j) The EMS System shall have a policy in place requiring compliance with this

Section.

k) AnA complainant or EMS System Participantparticipant or provider who is


18



dissatisfied with the determination or investigation by the Department may

request reconsideration by the Department.a hearing pursuant to Section 515.160

of this Part. A request for a hearing shall be submitted to the Department within

30 days after the determination is mailed.

l) The investigative files of the EMS System and the Department shall be privileged

and confidential in accordance with the Medical Studies Act [735 ILCS 5/8-

2101], except that the Department and the involved EMS System may share

information. The Department's final determination shall be public information

subject to FOIA.


Section 515.455 Intra- and Inter-Systemsystem Dispute Resolution

a) If the Director determines that a dispute exists between an EMS System, Vehicle

Service Provider, Advisory Committee, hospital, or EMS MD or between any

combination of any elements of these entities and the dispute causes an imminent

threat to the availability or quality of emergency pre-hospital care within the

State, then the Director or designee shall have the authority to resolve those

disputes, if one party to the dispute requests the Director's intervention in writing.

If the Director receives and approves such a request, then each entity's duly

authorized representative shall be given the opportunity to submit written

arguments and evidence in support of any potential resolution. The Director or

designee shall have the authority to hear oral arguments and testimony based upon

the written submissions. Any decision by the Director or designee shall be issued

in writing and state the basis for the decision, which shall be final and binding

upon all parties to the dispute. The Director or designee will endeavor to issue a

written decision within 30 days after receipt of all written submissions and verbal

testimony, if verbal testimony is permitted.

b) This dispute resolution procedure shall not be available to any EMS

PersonnelEMT, ECRN, Pre- Hospital RN, Lead Instructor, First Responder,

Emergency Medical Dispatcher, Trauma Nurse Specialist or a member of the

public. This procedure shall not be applicable to any EMS System Suspension,

Local Board of Review, action by the State EMS Disciplinary Review Board or

the Department.


18



c) The Department's Practice and Procedure in Administrative Hearings (77 Ill.

Adm. Code 100) shall govern all proceedings.

d) All final administrative decisions of the Department hereunder shall be subject to

judicial review pursuant to the provisions of the Administrative Review Law [35

ILCS 5/Art. III] . (Section 3.145 of the Act) A decision by the Director in

accordance with this Section shall be considered an administrative review

decision under Section 3.145 of the Act and shall be subject to judicial review.


Section 515.460 Fees

a) The following fees shall be submitted to the Department at the time of application

for examination, initial licensure, licensure renewal, duplicate license, or

reciprocity:

1) EMTEMT-B licensure: $45

2) EMTEMT-B renewal: $20

3) EMTEMT-B examination: $20

4) A-EMT or EMT-I licensure: $45

5) A-EMT or EMT-I renewal: $30

6) A-EMT or EMT-I examination: $30

7) ParamedicEMT-P licensure: $60

8) ParamedicEMT-P renewal: $40

9) ParamedicEMT-P examination: $40

10) Trauma Nurse Specialist licensure: $50

11) Trauma Nurse Specialist renewal: $25


18



12) Trauma Nurse Specialist examination: $25 (see Section 515.750(f))

13) Emergency Communications Registered Nurse licensure: $55

14) Emergency Communications Registered Nurse renewal: $20

15) Emergency Medical Dispatcher licensure: $30

16) Emergency Medical Dispatcher renewal: $20

17) Pre-Hospital RN licensure: $30

18) Pre-Hospital RN renewal: $20

19) Lead Instructor licensure: $40

20) Lead Instructor renewal: $20

21) EMRFirst Responder licensure: $55

22) EMRFirst Responder renewal: $20

23) Duplicate license: $10

24) Reciprocity application processing fee: $50

25) Fees for a reciprocity license or reinstatement of a license will be equal to

the amount of the initial license fee.

26) License status verification documentation for out-of-state or

organizational requests: $25

27) License renewal late fee during lapse period: $50

b) An EMR, EMD, EMT, EMT-I, A-EMT, Paramedic, ECRN or PHRNEMT who is a

member of the Illinois National Guard or, an Illinois State Trooper or who

exclusively serves as a volunteer for units of local government with a population

base of less than 5,000 or as a volunteer for a not-for-profit organization that

serves a service area with a population base of less than 5,000 in this State may


18



submit an application to the Department for a waiver of the fees for the EMS

PersonnelEMT examination, licensure and license renewal on a form prescribed

by the Department. (Section 3.50(d-5)(9) of the Act) The fee waiver application

shall be submitted to the Department and approved prior to examination, licensure

or renewal. No fees will be refunded.

c) A First Responder who exclusively serves as a volunteer for units of local

government or a not-for-profit organization that serves a service area with a

population base of less than 5,000 may submit an application to the Department

for a waiver of these fees on a form prescribed by the Department. (Section

3.60(b)(7) of the Act)

cd) Fees shall be paid on-line or by certified check or money order made payable to

the Department. Personal checks or cash will not be accepted.

de) If a candidate does not achieve a passing grade on the written examination, the fee

for the retest is the same as for initial examination.

ef) All fees submitted for licensure examinations are not refundable.

(Source: Amended at 42 Ill. Reg. 17632, effective September 20, 2018

SUBPART D: EDUCATION OF EMERGENCY MEDICAL TECHNICIANS, ADVANCED

EMERGENCY MEDICAL TECHNICIANS, EMERGENCY MEDICAL TECHNICIANS-

INTERMEDIATE, PARAMEDICS AND EMS PERSONNEL

Section 515.500 EMS System Education Program-Emergency Medical Technician-Basic

Training

a) An EMS education program shall only be conducted by an EMS System or an

academic institution under the direction of the EMS System.Applications for

approval of EMT-B Training Programs shall be filed with the Department on

forms prescribed by the Department. The application shall contain, at a

minimum, name of applicant, agency and address, type of training program, lead

instructor's name and address, dates of the training program, and name and

signature of EMS MD.

b) Applications for pre-approval of EMS education programs shall be filed with the

Department on forms prescribed by the Department. The applications shall


18



contain, at a minimum:Applications for approval, including a copy of the class

schedule and course syllabus, shall be submitted at least 60 days before the first

scheduled class. A description of the clinical requirements, textbook being used

and passing score for the class shall be included with the application.

1) Name of the applicant, agency and address;

2) Lead Instructor's name, license number, address and contact information;

3) Name and signature of the EMS MD and EMS System Coordinator;

4) Type of education program;

5) Dates, times and location of the education program, including course

schedule;

6) Goals, objectives and course outline;

7) Methods, materials and text books;

8) Content and time consistent with the national EMS education standards

and additional course curricula required by the Department. Initial or

modified course syllabi shall be approved by the Department;

9) Description of the clinical and field requirements;

10) Description of evaluation tools (student, clinical units, faculty and

programs); and

11) Requirements for successful completion.

c) Applications for pre-approval, including a copy of the course schedule and

syllabus, shall be submitted no less than 60 days before the first scheduled

class.The EMS MD shall attest on the application form that the training program

shall be conducted according to the United States Department of Transportation's

National Standard Curriculum (minimum sections shall include #1 through #7 of

the National Curriculum for EMT Basic), and that all instructors are

knowledgeable in the material and capable of instructing at the EMT-B level. The

curriculum shall include, at a minimum, training in the use of epinephrine for both


18



adults and children for application in the treatment of allergic reactions and

anaphylaxis, and in the administration and use of opioid antagonists.

1) Initial or revised education programs require full submission of all

curriculum related educational documents for Department pre-approval

(see Section 515.520(b)(1 through 11)).

2) Education programs previously approved by the Department without

changes to curricula or content require submission of the course schedule

and syllabus only.

d) The EMS MD shall attest on the application form that the education program will

be conducted according to the national EMS education standards, including

modifications required by the Department. The course hours shall include, at a

minimum, 125 hours of didactic education and 25 hours of clinical experience,

which includes hospital or alternate health care facility and field internship

experience. The clinical experience shall include minimum patient care contacts,

competency evaluation, and measurement, as defined in the standards and

approved by the EMS MD.The EMT-B training program shall designate an EMS

Lead Instructor who, shall be responsible for the overall management of the

training program, shall be approved by the Department based on requirements of

Section 515.700.

e) The EMS MD and the EMS System Coordinator, in cooperation with the

educational institution, shall be responsible for oversight, quality assurance and

outcome measurement for the EMT education program.The lead Instructor for the

training class shall be responsible for ensuring that no EMT training class begins

until after the Department issues its formal written pre-approval, which shall be in

the form of a numeric site approval code.

f) The Lead Instructorlead instructor for the coursetraining class shall be responsible

for ensuring that noall materials presented to EMT course begins until after the

Department issues its formal, written pre-approval, which shall be in the form of a

numeric site code.students conform to all curriculum requirements of both the

Department and the EMS System granting its approval. Methods of assessment or

intervention that are not approved by both the Department and the EMS System

shall not be taught or presented.

g) The Lead Instructor for the course shall be responsible for ensuring that all


18



materials presented to EMT students conform to all curriculum requirements of

both the Department and the EMS System granting its approval. Methods of

assessment or intervention that are not approved by both the Department and the

EMS System shall not be taught or presented. All LIs for courses shall be

approved by the EMS MDAny change, except for an emergency change (e.g.,

weather or instructor illness) in the EMT-B training program's EMS MD or EMS

Lead Instructor, shall require an amendment to be filed with the Department.

h) Any change in the EMT program's EMS MD, EMS System Coordinator or Lead

Instructor, or change in the minimum approved program, shall require an

amendment to be filed with the Department by the EMS System.Questions for all

quizzes and tests to be given during the EMT-B training program shall be

prepared by the EMS Lead Instructor and available upon the Department's

request.

i) Before a candidate is accepted into the program, documentation shall be

submitted that a BLS EMS System vehicle will be available to accommodate field

internship needs.Each approved training program shall submit a student roster

within 10 days after the first class as well as a student roster indicating successful

or unsuccessful completion within 10 days after the last class. An examination

roster shall be submitted to the Department prior to the deadline date for

examination.

j) Each EMS Lead Instructor shall verify a student's qualification to take a

Department-approved licensure examination upon the successful completion of

the education program and shall submit a student roster on a form approved by the

Department. The EMS MD or designee may approve students through an on-line

verification system.All approved programs shall maintain class and student

records for seven years, and these shall be made available to the Department upon

request.

k) EMT candidates may test for licensure through the Illinois State examination or

the NREMT examination. For EMT candidates who have completed and passed

components of the program, and passed the NREMT examination, the EMS MD

shall submit to the Department an electronic transaction provided by the

Department. No electronic transaction form is necessary for candidates taking the

State licensing examination.



18



Section 515.510 Advanced Emergency Medical Technician and Emergency Medical

Technician-Intermediate EducationTraining

a) An A-EMT or EMT-I coursetraining program shall be conducted only by an EMS

System or an academic institution whose curriculum has been approved bya

community college under the direction of the EMS System.

b) Applications for pre-approvalapproval of A-EMT or EMT-I education

programsTraining Programs shall be filed with the Department on forms

prescribed by the Department. The application shall contain, at a minimum:,

name of applicant, agency and address, type of training program, lead instructor's

name and address, dates of the training program, and names and signatures of the

EMS MD and EMS System Coordinator.



3) Name and signature of EMS MD and EMS System Coordinator;



schedule;



8) Content and time consistent with the national EMS education standards





programs); and


18




c) Applications for pre-approvalapproval, including a copy of the courseclass


scheduled class.



(see Section 515.520(b)(1) through (11)).


changes to curricula or content require submission of the course schedule

and syllabus only.

d) The EMS MDMedical Director of the EMS System shall attest on the application

form that the A-EMT or EMT-I educationtraining program shall be conducted

according to the national EMS education standards for an A-EMT, including

modifications required by the DepartmentUnited States Department of

Transportation's National Standard Curriculum. The course hours shall minimally

include 200 hours of didactic education and at least 150 hours of clinical

experience., which includes Clinical experience shall include hospital, alternate

care facility,hospital and field internship experience, including minimum patient

care contacts, competency evaluation and measurement, as defined in the

standards and approved by the EMS MD. The curriculum shall include training in

the use of epinephrine for both adults and children for application in the treatment

of allergic reaction and anaphylaxis.

e) Oversight, quality assurance and outcome measurement for the A-EMT andThe

EMT-I educationtraining program shall be the responsibilityunder the direction of

the EMS MD and the EMS System Coordinator, with cooperation of the

educational institution.

f) The Lead Instructor shall be responsible for ensuring that no A-EMT or EMT-I

course begins before the Department issues its formal written pre-approval, which

will be in the form of a numeric site code.The EMS System shall designate an

EMS Lead Instructor, who shall be approved by the Department based on the

requirements of Section 515.700.

g) The EMS Lead Instructor for the course shall be responsible for ensuring that all


18



materials presented to A-EMT oran EMT-I students conform to all curriculum

requirements of both the Department and the EMS System granting its approval.

Methods of assessment or intervention that are not approved by both the

Department and the EMS System shall not be taught or presented. All LIs for

courses must be approved by the EMS MD., an EMT-P, a Registered Professional

Nurse or a physician and shall have four years of experience in emergency care as

a provider and two years of teaching experience in a classroom setting.

h) Any change in the A-EMT or EMT-I program's EMS MD, EMS System

Coordinator or Lead Instructor, or change in the minimum approved program,

requires an amendment to be filed with the Department.The Lead Instructor for

the training class shall be responsible for ensuring that no EMT training class

begins until after the Department issues its formal written pre-approval, which

shall be in the form of a numeric site approval code.

i) A candidate for an A-EMT or EMT-I education program shall have a current

Illinois EMT license. All program participants shall maintain their qualifying

license throughout completion of the program and successful completion of the

licensure examination.The Lead Instructor for the training class shall be

responsible for ensuring that all materials presented to EMT students conform to

all curriculum requirements of both the Department and the EMS system granting

its approval. Methods of assessment or intervention that are not approved by both

the Department and the EMS System shall not be taught or presented.

j) Before a candidate is accepted into the program, documentation shall be

submitted that an ILS or ALS EMS System vehicle will be available to

accommodate field internship needs.Any change, except for an emergency change

(e.g., weather or instructor illness) in the EMT-I training program's EMS MD,

EMS System Coordinator and/or EMS Lead Instructor, shall require an

amendment to be filed with the Department.

k) Each education program shall verify a student's qualification to attempt a

Department-approved licensure examination upon the successful completion of

the education program and shall submit a student roster on a form approved by the

Department. The EMS MD or designee may approve students through an on-line

verification system.A candidate for an EMT-I training program must have a

current Illinois EMT-B license.

l) A-EMT and EMT-I candidates who have completed and passed all components of


18



the program may test for licensure through the Illinois State examination. No

electronic transaction form is necessary for candidates taking the State licensing

examination. An A-EMT candidate may choose to test with the NREMT

examination. For candidates successfully passing the NREMT examination and

applying for Illinois licensure, the EMS MD shall submit to the Department an

electronic transaction form provided by the Department.Before a candidate is

accepted into the program, documentation shall be submitted that an EMS System

vehicle will be available to accommodate field experience.

m) All approved programs shall maintain course and student records, for a minimum

of seven years, in compliance with affiliated academic institution requirements as

applicable. The course and student records shall be made available to the EMS

System or Department upon demand.Each approved training program shall submit

a student roster within 10 days after the first class as well as a student roster

indicating successful or unsuccessful completion within 10 days after the last

class. An examination roster shall be submitted to the Department prior to the

deadline date for examination.

n) After an EMT-I candidate has completed and passed all components of the

training program, and passed the National Registry examination or the

Department examination when available, the EMSMD shall submit to the

Department a transaction card (Form No. IL 482-0837) concerning that

individual.

o) All approved programs shall maintain class and student records for seven years,

and these shall be made available to the Department upon request.


Section 515.520 Emergency Medical Technician-Paramedic EducationTraining

a) A Paramedic courseAn EMT-P training program shall be conducted only by an

EMS System or an academic institution whose curriculum has been approved bya

community college under the direction of the EMS System.

b) Applications for pre-approvalapproval of Paramedic educationEMT-P training

programs shall be filed with the Department on forms prescribed by the

Department. The application shall contain, at a minimum:, name of applicant,

agency and address, type of training program, dates of the training program, and


18



names and signatures of the EMS MD and EMS System Coordinator.



3) Name and signature of EMS MD and EMS System Coordinator;



schedule;



8) Content and time, consistent with the national EMS education standards





programs); and


c) Applications for pre-approvalapproval, including a copy of the courseclass


scheduled class.



(see Section 515.520(b)(1 through 11)).


changes to curricula or content will require submission of the course

schedule and syllabus only.


18



d) The EMS MD of the EMS System shall attest on the application form that the

educationtraining program willshall be conducted according to the national EMS

education standards, including all modifications required by the

Department.United States Department of Transportation's National Standard

Curriculum. The EMT-P training program shall include all components of the

National Standard Curriculum. The course hours shall minimally include 500450

hours of didactic education and 500 hours of clinical experience, which includes

hospitals plus alternate care facilitieshospital and field internship experience,

including minimum patient care contacts and competency evaluation and

measurement as defined in the standards and approved by the EMS MD. The

curriculum shall include training in the use of epinephrine for both adults and

children for application in the treatment of allergic reactions and anaphylaxis.

e) Oversight, quality assurance and outcome measurement for the Paramedic

education programThe EMT-P training program's lead coordinators shall be the

responsibility of the EMS MD and the EMS System Coordinator, with

cooperation of the educational institution.

f) The Lead Instructor for the coursetraining class shall be responsible for ensuring

that no ParamedicEMT training class begins until after the Department issues its

formal written pre-approval, which shall be in the form of a numeric site approval

code.

g) The Lead Instructor for the coursetraining class shall be responsible for ensuring

that all materials presented to ParamedicEMT students conform to all curriculum

requirements of both the Department and the EMS Systemsystem granting its

approval. Methods of assessment or intervention that are not approved by both the

Department and the EMS System shall not be taught or presented. All LIs for

courses must be approved by the EMS MD.

h) Any change, except for an emergency change (e.g., weather or instructor illness)

in the ParamedicEMT-P training program's EMS MD,Medical Director and/or

EMS System Coordinator or Lead Instructor, or change in the minimum approved

program, shall require an amendment to be filed with the Department.

i) A candidate for a Paramedic educationan EMT-P training program shallmust have

a current Illinois EMT, EMT-BA-EMT or EMT-I license. All program

participants shall maintain their qualifying license throughout completion of the


18



program and successful completion of the licensure examination.

j) Before a candidate is accepted into the program, documentation shall be

submitted that an ALS or CCT EMS System vehicle will be available to

accommodate field internship needs.

k) Each educationapproved training program shall verify a student's qualification to

attempt a Department-approved licensure examination upon the successful

completion of the education program and shall submit a student roster on a form

approved by the Department. The EMS MD or designee may approve students

through an on-line verification system.within 10 days after the first class, as well

as a student roster indicating successful or unsuccessful completion within 10

days after the last class. An examination roster shall be submitted to the

Department prior to the deadline date for examination.

l) Paramedic candidates may test for licensure through the Illinois State examination

or the NREMT examination (NREMT requires successful completion from an

accredited academic institution recognized by NREMT). For Paramedic

candidates who have completed and passed all components of the program, and

passed the NREMT examination, and who are applying for Illinois licensure, the

EMS MD shall submit to the Department an electronic transaction form provided

by the Department. No electronic transaction form is required for candidates

taking the State licensure examination.After an EMT-P candidate has completed

and passed all components of the training program, and passed the Department or

National Registry examination, the EMSMD shall submit to the Department a

transaction card (Form No. IL 482-0837) concerning that individual.

m) All approved programs shall maintain courseclass and student records for seven

years, and in compliance with the affiliated academic institution requirements as

applicable. The course and student recordsthese shall be made available to the

EMS System or Department upon request.


Section 515.530 EMT, A-EMT, EMT-I and Paramedic Testing

a) All EMT-B candidates shall hold a high school diploma or high school

equivalency certificate and be 18 years of age or older to be licensedtested for

licensure. Candidates who meet all of the requirements of this Part may test after


18



attaining 17 years of age and may apply for licensure upon attaining 18 years of

age.

b) After completion of an approved educationtraining program and a

recommendation to test by the EMS MD or designee, candidates shall take a

written licensure examination. CandidatesEMT-B and EMT-P candidates shall

have the choice of taking either the NREMT National Registry of Emergency

Medical Technicians written and psychomotor examination or the Department's

examination if eligible and available. The Department's written examinations

shall beexamination is based on the national EMS education standards and

practice analysisUnited States Department of Transportation National Standard

Curriculum and areis equivalent to the NREMT National Registry written

examinations as modified by the DepartmentExamination.

c) Candidates qualifying for licensure examinations may register for examinations

through either the State of Illinois testing vendor or the NREMT. Application

information may be found at the Department's website (http://www.

continentaltesting.net/) or the NREMT website (https://www.nremt.org/nremt/

about/apply_for_assess_exam.asp). All candidates for licensure examinations

shall be approved by the EMS System. Candidates shall register to take a

licensure examination within 90 days after course completion, including all

clinical and field requirements.The Department or its designee will administer the

State written examination for EMT-B and EMT-P licensure and for EMT-I

licensure when the State examination is available. Candidates who elect to take

the National Registry of Emergency Medical Technicians examination in lieu of

the State examination shall be responsible for making their own arrangements

with the National Registry.

d) A failure rate per courseclass of 3025 percent or greater on the licensure

examination will subjectshall require that the particular educationtraining program

to review by the EMS System orbe reevaluated by the Department at least 60 days

before the start of the next class.

e) Candidates shall have three attempts to pass the licensure examination within 12

months after initial authorizations to test. Candidates who fail all three initial

examination attemptsThe candidate shall take a refresher course in alignment with

the NREMT National Registry of Emergency Medical Technicians Cognitive

Examination Retestexamination retest policy. Candidates shall be granted up to

three additional licensure examination attempts only upon EMS MD


18



authorization.if he/she fails to achieve a passing grade on two successive

examinations within 12 months after sitting for the examination for the first time.

f) When a candidate elects to take the State examination or the NREMTNational

Registry's examination, the candidate shall pass that particular testing procedure

or exhaust all three test attempts with the initial testing agency. Any candidate

may request a waiver from the Department to change the examination testing

venue after three unsuccessful testing attempts. A candidate will not be allowed to

take the alternate examination after failure to achieve a passing grade.

g) Failure to appear for the examination on the scheduled date, at the time and place

specified, shall result in the forfeiture of the examination fee.


Section 515.540 EMT, A-EMT, EMT-I and Paramedic Licensure

a) To be licensed by the Department as an EMT, A-EMT, EMT-I or

ParamedicEMT-B, an individual must pass either the NREMTNational Registry

of Emergency Medical Technicians examination or the Department's

licensureEMT-B examination based on a final composite with a score of at least

70 percent.

b) Upon successful completion of the NREMT written and psychomotor

examinations, the applicant shall apply to the Department through the affiliated

EMS System, using forms specified by the Department. The application will

include demographic information, social security number, child support

statement, felony conviction statement, and applicable fees, and will require EMS

System authorization. Upon successful completion of the State examination, the

applicant will be required to pay the applicable fees (see Section 515.460(a)).To

be licensed by the Department as an EMT-I, an individual must pass the National

Registry of Emergency Medical Technicians examination or the Department's

EMT-I examination, if available. Students taking the Department's examination

must pass with a score of at least 70 percent.

c) To be licensed by the Department as an EMT-P, an individual must pass either the

National Registry of Emergency Medical Technicians examination or the

Department's EMT-P examination with a score of at least 70 percent.


18



cd) An EMSEMT license will specify the level of licensure, i.e., EMT, A-EMT,

EMT-B, EMT-I or ParamedicOR EMT-P, and will be effective for a period of

four years.

de) An EMT, A-EMT, EMT-I or Paramedic shall notify the Department within 30

days after any change in name or address. Notification may be in person, or by

mail, phone, fax, or electronic mail. Addresses may be changed through the

Department's on-line system. Name and gender changes require certified copies

of court orders, i.e., marriage license or court documents.


Section 515.550 Scope of Practice − Licensed EMT and Paramedic

a) Any person currently licensed as an EMT, EMT-I, A-EMT or Paramedic may

onlyEMT-B, EMT-I or EMT-P shall perform emergency and non-emergency

medical services in accordance with his or her level of education, training and

licensure, the standards of performance and conduct prescribed in this Part, and

the requirements of the EMS System in which he or she practices, as contained in

the approved Program Plan for that System. The Director may, by written order,

temporarily modify individual scopes of practice in response to public health

emergencies for periods not to exceed 180 days. (Section 3.55(a) of the Act)

b) EMS Personnel who have successfully completed a Department-approved course

in automated external defibrillator operation and who are functioning within a

Department-approved EMS System may use an automated external defibrillator

according to the standards of performance and conduct prescribed by the

Department in this Part, and the requirements of the EMS System in which they

practice, as contained in the approved Program Plan for that System. (Section

3.55(a-5) of the Act)

c) An EMT, EMT-I, A-EMT or Paramedic who has successfully completed a

Department-approved course in the administration of epinephrine shall be

required to carry epinephrine with him or her as part of the EMS Personnel

medical supplies whenever he or she is performing official duties, as determined

by the EMS System. (Section 3.55 (a-7) of the Act)

db) An EMR, EMT, EMT-I, A-EMT or ParamedicA person currently licensed as an

EMT-B, EMT-I, or EMT-P may only practice as an EMR, EMT, EMT-I, A-EMT


18



or Paramedic or utilize his or her EMR, EMT, EMT-I, A-EMT or Paramedic

license in pre-hospital or inter-hospital emergency care settings or non-

emergency medical transport situations, under the written or verbal direction of

the EMS MDMedical Director. For purposes of this Section, a "pre-hospital

emergency care setting" may include a location, that is not a health care facility,

which utilizes EMS PersonnelEMTs to render pre-hospital emergency care prior

to the arrival of a transport vehicle. The location shall include communication

equipment and all of the portable equipment and drugs appropriate for the EMT,

EMT-I, A-EMT or Paramedic'sEMT's level of care, and the protocols of the EMS

Systems, and shall operate only with the approval and under the direction of the

EMS MDMedical Director. (Section 3.55(b) of the Act)

ec) This does not prohibit an EMR, EMT, EMT-I, A-EMT or ParamedicEMT-B,

EMT-I, or EMT-P from practicing within an emergency department or other

health care setting for the purpose of receiving continuing education or training

approved by the EMS MDMedical Director. This also does not prohibit an EMT,

EMT-I, A-EMT or ParamedicEMT-B, EMT-I, or EMT-P from seeking credentials

other than his or her EMT, EMT-I, A-EMT or Paramedic license and utilizing

such credentials to work in emergency departments or other health care settings

under the jurisdiction of that employer. (Section 3.55(b) of the Act)

fd) A student enrolled in a Department-approved EMS Personnelemergency medical

technician program, while fulfilling the clinical training and in-field supervised

experience requirements mandated for licensure or approval by the System and

the Department, may perform prescribed procedures under the direct supervision

of a physician licensed to practice medicine in all of its branches, a qualified RN

registered professional nurse or a qualified EMS PersonnelEMT, only when

authorized by the EMS MDMedical Director. (Section 3.55(d) of the Act)


Section 515.560 EMT-B Continuing Education

a) Continuing education classes, seminars, clinical time, workshops or other types of

programs shall be approved by the Department before being offered to

EMTsEMT-Bs. An application for approval shall be submitted to the Department

on a form prescribed, prepared and furnished by the Department, at least 60 days

prior to the scheduled event. The application will include, but not be limited to,

the following:


18



1) Name of applicant, agency and address;


3) Name and signature of the EMS MD and the EMS System Coordinator;


5) Dates, times and location of the education program (submit course

schedule);

6) Goals and objectives;

7) Methods and materials, text books, and resources, when applicable;

8) Content consistent with the national EMS education standards;

9) Description of evaluation instruments; and

10) Requirements for successful completion, when applicable.

b) Approval will be granted provided the application is complete and the content of

the program is based on topics or materials from the national EMS education

standardsUnited States Department of Transportation National Standard

Curriculum for, as modified by the DepartmentEMT-Bs. Upon approval, the

Department will issue a site code to the courseclass, seminar, workshop or

program.

c) An EMS System may apply to the Department for a single System site code to

cover CE activities conducted or approved by the System for System EMTs when

an urgent education need arises that requires immediate attention or when other

appropriate education opportunities present outside of the scheduled approved

offerings. Activities conducted under the System site code shall not require

individual approval by the Department. The single System site code is not

intended to replace the routine CE pre-approvals required by this Section and

Sections 515.570 and 515.580.

dc) An EMT functioning within an EMS SystemEMT-B shall submitbe responsible


18



for submitting written proof of CE continuing education attendance to the EMS

System Coordinator pursuant to System policy. An EMT not functioning within

an EMS System shall submit written proof of CE continuing education attendance

to the Department Regional EMS Coordinator upon licensure renewal request.or

the Department Regional EMS Coordinator.

ed) The EMS MD or designee of the EMS System of the EMT's primary affiliation or

Department's designee for independent EMTsSystem Coordinator or Department

Regional EMS Coordinator shall verifybe solely responsible for verifying whether

specific CE continuing education hours meet requirements for educational credit

towards active status or renewal purposes outlined in Section

515.590(a)(2)(B)have been earned by the EMT-B.

f) An EMS System that requires clinical CE shall specify in the System Program

Plan the number of hours required and the manner in which those hours shall be

earned, submitted and verified.

ge) An EMT shall maintainEMT-B shall be responsible for maintaining copies of all

documentation concerning CE continuing education programs that he or she has

completed for a period of not less than four years.


Section 515.570 A-EMT and EMT-I Continuing Education

a) ContinuingDidactic continuing education classes, seminars or other types of

programs shall be approved by the Department before being offered to A-EMTs

or EMT-Is. An application for approval shall be submitted to the Department by

an EMS MDMedical Director, on a form prescribed and furnished by the

Department, at least 60 days prior to the scheduled event. The application will

include, but not be limited to, the following:






18




schedule);








standardsUnited States Department of Transportation National Standard

Curriculum for an A-EMT, as modified by the DepartmentIntermediates. Upon

approval, the Department will issue a site code to the courseclass, seminar or

program.

c) An EMS System may apply to the Department for a single System site codeSite

Code to cover CE didactic continuing education activities conducted or approved

by the System solely for System A-EMTs and EMT-Is when an urgent education

need arises that requires immediate attention or when other appropriate education

opportunities present outside of the scheduled approved offerings(e.g., telemetry

review at the Resource Hospital, morbidity and mortality conferences, preceptor

orientation, review of System education materials). Activities conducted under

the System site codeSite Code shall not require individual approval by the

Department. The single System site code is not intended to replace the routine CE

pre-approvals required by this Section and Sections 515.560 and 515.580.

d) The EMSMD of the EMS System in which the EMT-I functions shall be

responsible for determining whether a particular State-approved didactic

continuing education program is acceptable for credit within the System.

de) A-EMTs and EMT-Is functioning within an EMS SystemAn EMT-I shall

submitbe responsible for submitting written proof of CE didactic continuing

education attendance to the EMS System Coordinator pursuant to System policy.


18



A-EMTs and EMT-Is not functioning within an EMS System shall submit written

proof of CE attendance to the Department Regional EMS Coordinator upon

licensure renewal request., in the manner prescribed by the System Program Plan.

ef) The EMS System Coordinator or EMS MD or designeeMedical Director of the

EMS System of the A-EMT's or EMT-I's primary affiliation or the Department's

designee for independent A-EMTs or EMT-Is shall verifyin which an EMT-I

primarily functions shall be solely responsible for verifying whether specific CE

continuing education hours meet criteria for educational credit towards active

status or renewal purposes as required by Section 515.590(a)(2)(B)have been

earned by the EMT-I.

fg) An EMS System that requires clinical CE continuing education shall specify in

the System Program Plan the number of hours required, and the manner in which

those hours must be earned, submitted and verified.

gh) A-EMTs and EMT-Is shall maintainAn EMT-I shall be responsible for

maintaining copies of all documentation concerning CE continuing education

programs or activities that they havehe or she has completed for a period of not

less than four years.


Section 515.580 ParamedicEMT-P Continuing Education

a) ContinuingDidactic continuing education classes, seminars or other types of

programs shall be approved by the Department before being offered to

ParamedicsEMT-Ps. An application for approval shall be submitted to the

Department by an EMS Medical Director, on a form prescribed, prepared and

furnished by the Department, at least 60 days prior to the scheduled event. The

application will include, but not be limited to, the following:






18




schedule);








standards, as modified by the Department.United States Department of

Transportation National Standard Curriculum for Paramedics. Upon approval, the

Department will issue a site code to the courseclass, seminar or program.

c) An EMS System may apply to the Department for a single System site codeSite

Code to cover CE didactic continuing education activities conducted or approved

by the System solely for System Paramedics when an urgent education need arises

that requires immediate attention or when other appropriate education

opportunities present outside of the scheduled approved offerings.EMT-Ps (e.g.,

telemetry review at the Resource Hospital, morbidity and mortality conferences,

preceptor orientation, review of System educational materials). Activities

conducted under the System site codeSite Code shall not require individual

approval by the Department. The single System site code is not intended to

replace routine CE pre-approvals required by this Section and Sections 515.560

and 515.570.

d) The EMSMD of the EMS System in which the EMT-P functions shall be

responsible for determining whether a particular State-approved didactic

continuing education program is acceptable for credit within that System.

de) A Paramedic functioning within an EMS SystemAn EMT-P shall submitbe

responsible for submitting written proof of CE didactic continuing education

attendance to the EMS System Coordinator pursuant to System policy. A


18



Paramedic not functioning within an EMS System shall submit written proof of

CE attendance to the Department Regional EMS Coordinator upon licensure

renewal request., in the manner prescribed by the System Program Plan.

ef) The EMS MD or designeeSystem Coordinator or EMS Medical Director of the

EMS System Paramedic's primary affiliation shall verifyin which an EMT-P

primarily functions shall be solely responsible for verifying whether specific CE

continuing education hours meet the criteria for educational credit towards active

status or renewal purposes required by Section 515.590(a)(2)(B).have been earned

by the EMT-P.

fg) An EMS System that requires clinical CE continuing education shall specify in

the System Program Plan the number of hours required, and the manner in which

those hours must be earned, submitted and verified.

gh) A Paramedic shall maintainAn EMT-P shall be responsible for maintaining copies

of all documentation concerning CE continuing education programs or activities

that he or she has completed for a period of not less than four years.


Section 515.590 EMS PersonnelEMT License Renewals

a) To be relicensed as an EMT:

1) The licensee shall file an application for renewal, either written or on-line,

with the Department, using the formaton a form prescribed by the

Department, at least 30 days prior to the license expiration date.

Incomplete license applications submitted to the Department less than 30

days before the expiration may not be processed by the expiration date and

may be subject to a late fee.

A) In addition to completion of the renewal application and payment

of the renewal fee, a licensee who functions within an EMS

System shall submit documentation of completion of CE

requirements to his or her EMS System of primary affiliation at

least 30 days before the expiration of his or her license. A licensee

who does not function within an EMS System, and who seeks

independent renewal, shall submit documentation of completion of


18



CE requirements to the Department at least 30 days before the

expiration of his or her license.If an EMS MD has recommended a

licensee for relicensure, the submission of a transaction card (Form

No. IL 482-0837) by the EMS MD will satisfy the renewal

application requirement.

B) A licensee who has not been recommended for relicensure by the

EMS MD shall independently submit an application for renewal to

the Department. The EMS MD shall provide a written statement

stating the reason for the denial of relicensure to the licensee and

the Department. The application for independent renewal may be

found on the Department's website:

http://dph.illinois.gov/sites/http://dph.illinois.gov/sites/

default/files/forms/emsindependentrenewal-040317.pdf.the

licensee with a copy of the appropriate form to be completed.

2) TheA written recommendation signed by the EMS MD or designee shall

provide an electronic authorizationmust be provided to the Department

regarding completion of the following minimum requirements:

A) Paramedics and PHRNs shall have a minimum of 100 approved

CE continuing education hours. A-EMTs and EMT-Is shall have a

minimum of 80 approved CE continuing education hours.

Advanced EMTs (AEMTs) shall have 80 approved continuing

education hours. EMTsEMT-Bs shall have a minimum of 60

approved CE continuing education hours.

B) CE Continuing education hours shall consist of EMS System-

approved in-services, Department-recognized college health care

courses, online CE continuing education courses, seminars and

workshops, addressing both adult and pediatric care. The System

shall define in the Program Plan the number of CE continuing

education hours to be accrued each year for relicensure. No more

than 2025 percent of those hours may be in the same subject.

C) Any System CE continuing education requirements for EMS

Personnelan EMT approved to operate an automated external

defibrillator shall be included in the required CE continuing

education hours.


18



D) The licensee shall have a current CPR for Healthcare Providers

card that covers didactic and psychomotor skills that meet or

exceed American Heart Association guidelines.:

i) Adult one-rescuer CPR,

ii) Adult foreign body airway obstruction management,

iii) Pediatric one-rescuer CPR,

iv) Pediatric foreign body airway obstruction management,

v) Adult two-rescuer CPR, and

vi) AED.

E) The licensee shall be functioning within a State-approved EMS

System providing the licensed level of life support services as

verified by that System's EMS MD.

b) The content of continuing education programs and qualifications of instructors

shall be submitted to the Department for approval not less than 60 days prior to

the scheduled event. Program approval will be granted provided that program is

conducted in accordance with guidelines of the Department of Transportation's

National Standard Curriculum for EMTs and contains material relevant to that

level of licensure. Qualifications of instructors shall be consistent with Section

515.700.

c) EMT-Is and EMT-Ps shall complete a transition program for all sections of the

National Standard Curriculum that are not currently in place in their System. This

course may be completed as continuing education and shall be completed within

the four-year licensing period.

d) If the EMS MD does not recommend relicensure, he/she shall submit all reasons

for denial in writing to the EMT and the Department.

be) The license of EMS Personnelan EMT who has failed to file a completedan

application for renewal on time shall be invalidterminate on the day following the


18



expiration date shown on the license. EMS Personnel shall not function on an

expired license.

cf) At any time prior to the expiration of the current license, an EMT, A-EMT, EMT-

I or ParamedicEMT-P may downgraderevert to EMT or EMRthe EMT-B status

for the remainder of the license period. The EMT, A-EMT, EMT-I or

ParamedicEMT-P shall make this request in writing to the EMS MD of his or her

System of primary affiliation along with a signed renewal notice and his or her

original EMS license and duplicate license fee. The EMS MD or designee shall

verify that the license is current with CE hours and forward the approved

applications to the Department. To relicense at the EMT or EMREMT-B level,

the individual must meet the EMT-B requirements for relicensure requirements

for that downgraded level.

dg) EMS PersonnelAn EMT-I or EMT-P who have downgradedhas reverted to EMT,

A-EMT or EMT-IEMT-B status may be subsequently upgrade to his or her

original level of licensure held at the time of the downgraderelicensed as an EMT-

I or EMT-P upon the recommendation of an EMS MD who has verified that the

individual's knowledge and psychomotorclinical skills are at the level of the

licensure being requested. The individual shall completean active EMT-I or

EMT-P level, and that the individual has completed any retraining, education or

testing deemed necessary by the EMS MD for resuming A-EMT, EMT-I or

ParamedicEMT-P activities and submit a duplicate license fee. EMS Personnel

cannot upgrade from the EMR level.

e) EMS Personnel whose licenses have expired may, within 60 days after license

expiration, submit all relicensure requirements and submit the required relicensure

fees (see Section 515.460), including a late fee, online or by certified check or

money order. Cash or personal check will not be accepted. If all relicensure

requirements have been met, and no disciplinary actions are pending against the

EMS Personnel, the Department will relicense the EMS Personnel.

fh) EMS PersonnelAny EMT whose licenses have license has expired for a period of

more than 60 days shall be required to reapply for licensure, complete the

educationtraining program, and pass a Department-approved licensure

examinationthe test, and pay the fees as required for initial licensure (see Section

515.460)subsection (i)). Within 36 months after expiration of a license, an

individual may quality for reinstatement under Section 515.640.


18



gi) The Department shall require the licensee to certify on the renewal application

form, under penalty of perjury, that he or she is not more than 30 days delinquent

in complying with a child support order. (Section 10-65(c) of the Illinois

Administrative Procedure Act)

j) An EMT whose license has expired may, within 60 days after licensure

expiration, submit all relicensure material as required in this Part and a fee of $50

in the form of a certified check or money order (cash or personal check will not be

accepted). If all material is in order and there is no disciplinary action pending

against the EMT, the Department will relicense the EMT.

k) At any time prior to the expiration of the current license, an EMT may revert to

First Responder status for the remainder of the license period. The EMT shall

make this request in writing to the Department. To re-register as a First

Responder, the individual shall meet the requirements for First Responder

registration.


Section 515.600 EMS PersonnelEMT Inactive Status

a) Prior to the expiration of the current license, EMS Personnelan EMT may request

to be placed on inactive status on a form prescribed by the Department available

on the Department's website: http://dph.illinois.gov/sites/default/files/forms/ems-

inactive-request-062116.pdf. The request shall be made in writing to the EMS

Medical Director. The EMS Medical Director will apply to the Department in

writing and request that the EMT be placed on inactive status. The application

shall contain the following information:

1) Name of individual and contact information;

2) Applicant's current original licenseDate of licensure;

3) Level of licensureLicensure type, i.e., EMT-B, EMT-I or EMT-P;

4) LicenseEMT identification number;

5) Circumstances requiring inactive status; and


18



6) Confirmation from the EMS MD of the System of primary affiliation or

the Department for independent licenseesA statement that relicensure

requirements have been met by the date of the application for inactive

status.

b) The Department will review requests for inactive status. The Department willshall

notify the EMS MDMedical Director in writing of its decision based on

subsection (a) of this Section.

c) If the request for inactive status is granted, the EMSMD shall forward the EMT's

license to the Department.

cd) For EMS Personnelthe EMT to return to active status, the EMS MD shallMedical

Director must make application to the Department on a form prescribed by the

Department available on the Department's website: http://dph.illinois.gov/sites/

default/files/forms/ems-reactivation-request-061416.pdf. The EMS MD shall

confirmapplication must be in writing and include a statement that the

applicantEMT has been examined (physically and mentally) and found capable of

functioning within the EMS System; that the applicant'sEMT's knowledge and

psychomotorclinical skills are at the active EMT level for that individual's license;

and that the applicantEMT has completed any education and evaluationrefresher

training deemed necessary by the EMS MDEMSMD and approved by the

Department. If the inactive status was based on a temporary disability, the EMS

MDEMSMD shall also verify that the applicant can perform all critical functions

of the requested license level.disability has ceased.

de) During inactive status, the individualEMT shall not perform at the level of any

EMS provider.function as an EMT, at any level.

e) EMS Personnel whose inactive status period exceeds 48 months shall pass a

Department-approved licensure examination for the requested level of license

upon recommendation of an EMS MD.


Section 515.610 EMT, A-EMT, EMT-I and Paramedic Reciprocity

a) An EMT, A-EMT, EMT-I or Paramedic licensed or certified in another state,

territory or jurisdiction of the United StatesEMTs from other states who seeks


18



licensurewish to function in Illinois as an Emergency Medical Technician may

apply to the Department for licensure by reciprocity on a form prescribed by the

Department available on the Department's website: http://dph.illinois.gov/sites/

default/files/forms/emsreciprocityapplication.pdf.

b) The reciprocitySuch application shall be in writing and contain the following

information:

1) Verifiable proofProof of current state, territory or jurisdiction licensure or

certification,registration by the state in which he/she currently functions

and written verification from that state or current registration with

NREMTthe National Registry of Emergency Medical Technicians and

written verification thereof;

2) A written statement of satisfactory completion of an educationa training

program that meets or exceeds the requirements of the Department as set

forth in this SubpartPart;

3) A letter of recommendation from the EMS MDMedical Director of the

EMS System in the state, territory or jurisdiction from which the

individual is licensedcame. TheThis letter should include a statement that

the applicantEMT is currently in good standing and up to date with CE

continuing education hours; and

4) A current CPR for Healthcare Providers card that covers didactic and

psychomotor skills that meet or exceed American Heart Association

guidelines.

c) The Department will review requests for reciprocity to determine compliance with

the applicable provisions of this Part. CE Continuing education hours from the

state of current licensure will be prorated based on the expiration date of the

current license.

d) Individuals who meet the requirements for licensure by reciprocity will be State

licensed consistent with the expiration date of their current license but not to

exceed a period of four years.

e) Following licensure by reciprocity, the individual must comply with the

requirements of this Part for relicensure.


18




Section 515.630 Evaluation and Recognition of Military Experience and Education

a) In prescribing licensure testing requirements for honorably discharged members

of the armed forces of the United States under this Part, the Department shall

ensure that a candidate's military emergency medical training, emergency

medical curriculum completed, and clinical experience, as described in this

Section, are recognized. (Section 3.50(d)(2) of the Act)

b) The Department will review applications for EMS PersonnelEMT licensure from

honorably discharged members of the armed forces of the United States with

military emergency medical training. (Section 3.50(d)(2.5) of the Act)

c) The Department will provide application forms. Applications shall be filed with

the Department within one year after military discharge and shall contain the

following:

1) Documentation that the application is being filed within one year after

military discharge;

2) Proof of successful completion of military emergency medical training;

3) A detailed description of the emergency medical curriculum completed,

including official documentation demonstrating basic coursework and

curriculum; and

4) A detailed description and official documentation of the applicant's

clinical experience. (Section 3.50(d)(2.5) of the Act)

d) The Department may request additional and clarifying information and

supporting documentation, if necessary, to verify the information provided in

subsection (c). (Section 3.50(d)(2.5) of the Act)

e) The Department shall evaluate the application, including the applicant's training

and experience, consistent with the standards set forth under Section 3.10(a), (b),

(c) or (d) of the Act and the requirements of this Part,; to determine if the


18



applicant qualifies for the licensure level for which the applicant has applied for.

(Section 3.50(d)(2.5) of the Act)

f) If the application clearly demonstrates that the training and experience meetsmeet

the standards of subsection (e), the Department shall offer the applicant the

opportunity to successfully complete a Department-approved EMS PersonnelEMT

examination for the level of license for which the applicant is qualified, in

accordance with Section 515.530 of this Part. (Section 3.50(d)(2.5) of the Act)

g) Upon the applicant's passage of an examination and having paid all required fees,

as set forth in Sections 515.530 and 515.460, the Department shall issue a license

that, which shall be subject to all provisions of the Act and this Part that are

otherwise applicable to the class of EMS PersonnelEMT license issued, as set

forth in Section 515.590. (Section 3.50(d)(2.5) of the Act)


Section 515.640 Reinstatement

a) An Illinois licensed EMR, EMD, EMT, EMT-I, A-EMT, Paramedic, ECRN or

PHRNEmergency Medical Technician or Paramedic whose license has been

expired for less than 36 consecutive months may apply for reinstatement by the

Department. (Section 3.50(d)(5) of the Act)

b) Reinstatement shall require all of the following:

1) The applicant shall submit satisfactory proof of completion of continuing

medical education and clinical requirements in accordance with the

following:

A) Continuing education in accordance with Sections 515.560,

515.565, 515.570, and 515.580, 515.710, 515.715, 515.725,

515.730 and 515.740 and 515.580.

B) EMS Personnel educationEMT training in accordance with

SectionsSection 515.500, 515.505, 515.510, or 515.520, 515.710,

515.715, 515.725, 515.730 and 515.740.


18



2) The applicant shall submit a positive recommendation in writing from an

Illinois EMS MDMedical Director attesting to the applicant's clinical

qualifications for retesting. The EMS MDMedical Director shall verify

that the applicant has demonstrated competency of all skills at the level of

EMS PersonnelEMT license sought to be reinstated.

3) The applicant shall pass a Department-approved test for the level of EMS

PersonnelEMT license sought to be reinstated, in accordance with Section

515.530. (Section 3.50(d)(5) of the Act)


SUBPART E: EMS LEAD INSTRUCTOR, EMERGENCY MEDICAL DISPATCHER,

EMERGENCY MEDICAL RESPONDER, PRE-HOSPITAL REGISTERED NURSE,

EMERGENCY COMMUNICATIONS REGISTERED NURSE, AND

TRAUMA NURSE SPECIALIST

Section 515.700 EMS Lead Instructor

a) All education, training and CE continuing education courses for EMTEMT-B,

EMT-I, A-EMT, Paramedic, PHRNEMT-P, Pre-Hospital RN, ECRN, EMR and

EMD First Responder and Emergency Medical Dispatcher shall be coordinated

by at least one approved Illinois EMS Lead Instructor. A program that includes

education, training or CE for more than one type of EMS Personnel may use

more than one EMS LILead Instructor to coordinate the program. A single EMS

LILead Instructor may simultaneously coordinate more than one program or

course. (Section 3.65(b)(5) of the Act)

b) To apply to take the EMS Lead Instructor's examination, the candidate shall

submit:

1) Documentation of experience and education in accordance with subsection

(c);

2) A fee of $50 in the form of a money order or certified check made payable

to the Department (cash or a personal check will not be accepted);

3) A letter from the EMS MD saying he/she will approve the course

conducted by the candidate;


18



4) An EMS Lead Instructor application form prescribed by the Department,

which shall include, but not be limited to, name, address, and resume.

bc) To be eligible for an IllinoisAn EMS LI Lead Instructor license, the applicant

shall meet at least the following minimum experience and education requirements

and shall provide a written recommendation from the EMS MD of the primary

EMS System affiliation:

1) A current Illinois license as an EMTEMT-B, EMT-I, A-EMT,

ParamedicEMT-P, RN or physician;

2) A minimum of four years of experience in EMS orpre-hospital emergency

care;

3) At least two years of documented teaching experience;

4) Documented EMS classroom teaching experience with a recommendation

for LI licensure by an EMS MD or licensed LI, i.e., BTLS, PHTLS, CPR,

Pediatric Advanced Life Support (PALS);

5) Documented successful completion of the Illinois EMS Instructor

Education Course or equivalent to the National Standard Curriculum for

EMS Instructors as approved by the Department.

c) Upon successful course completion, the applicant may apply to the Department

through the affiliated EMS System using the child support form available on the

Department's website (http://dph.illinois.gov/sites/default/files/forms/ems-

renewal-notice.pdf) and an application form provided by the local EMS System.

The application will include demographic information, social security number,

child support statement, felony conviction statement, applicable fees, and EMS

System authorization.

d) Upon the applicant's completion of the EMS Lead Instructor examination with a

score of at least 80 percent, the Department will approve the individual as an

EMS Lead Instructor. The approval will be valid for four years.

de) All EMS LIsEMT-I and EMT-P Lead Instructors shall attend a Department-

approved curriculum review course whenever revisions are made to the national


18



EMS education standards.National Standard Curricula for Basic, Intermediate,

and/or Paramedic.

ef) Relicensure Application

1) To applyrenew approval for relicensureanother four-year period, the EMS

LILead Instructor shall submit the following to the Department at least 60

days, but not more than 90 days, prior to the LI's licenseapproval

expiration:

A1) A letter of support or electronic authorization from an EMS MD

indicating that the EMS LILead Instructor has satisfactorily

coordinated programs for the EMS System at any time during the

four-year period;

B2) Documentation of at least 4010 hours of continuing education, of

which 20 hours shall be related to the development, delivery and

evaluation of education programsannually (Programs used to fulfill

other professional continuing education requirements, i.e., EMT,

nursing, may also be used to meet this requirement.); and

C3) Documentation of attendance at a Department-approved national

EMS education standards updatecurriculum review course, if

applicable, in accordance with subsection (de).

2) The EMS LI shall file a written or electronic application for renewal with

the Department no less than 30 days before the license expiration date.

Incomplete license applications submitted less than 30 days before the

expiration may not be processed by the expiration date and will be subject

to a late fee once the license has expired.

A) In addition to submission of the renewal application and renewal

fee, an LI functioning within an EMS System shall submit

documentation of completion of all CE requirements of the EMS

System or primary affiliation no less than 30 days before the

expiration of his or her license.

B) An LI who has not been recommended for relicensure shall be

provided with a written statement from the EMS MD stating the


18



reason for the withholding of the endorsement.

C) The license of an LI who has failed to complete the renewal

application requirements for the EMS System and the Department

shall be invalid on the expiration of the license. An individual

shall not function as an EMS LI on an expired license.

D) An LI whose license has expired may, within 60 days after the

expiration of the license, submit all relicensure requirements and

submit the fees required by Section 575.460, including a late fee,

online or by certified check or money order. Cash or personal

check will not be accepted. If all relicensure requirements have

been met, and there are no pending or sustained disciplinary

actions against the LI, the Department will relicense the LI.

fg) The Department willshall, in accordance with Section 515.160 of this Part,

suspend, or revoke or refuse to issue or renew the approval of an EMS Lead

Instructor, after an opportunity for a hearing, when findings show one or more of

the following the EMS Lead Instructor has failed:

1) The EMS LI has failed toTo conduct a course in accordance with the

curriculum prescribed by the Act and/or this Part and the System

sponsoring the course; or

2) The EMS LI has failed toTo comply with protocols prescribed by this Part

and the System sponsoring the course. (Section 3.65(b)(7) of the Act)

gh) The EMS LILead Instructor shall be responsible for the following:

1) Ensuring that no EMS education courseEMT training class begins until

after the Department issues its formal written pre-approval, which shall be

in the form of a numeric site approval code; and

2) Ensuring that all materials presented to participants comply with the

national EMS education standards, as modified by the Department, and are

approved byEMT students conform to all curriculum requirements of both

the Department and the EMS System and the Department.granting its

approval. Methods of assessment or intervention that are not approved by


18



both the Department and the EMS System and the Department shall not be

taught or presented.


Section 515.710 Emergency Medical Dispatcher

a) Emergency Medical Dispatcher (EMD Licensure) Certification

1) To apply for licensurecertification as an Emergency Medical Dispatcher

(EMD), the individual shall request that the EMS System submit the

following to the Department:

A) A completed electronic transactionEmergency Medical Dispatcher

certification form recommending initial licensure as an EMDthat

includes name, address, and employer of the Emergency Medical

Dispatcher; and

B) Documentation of successful completion of a training course in

emergency medical dispatching that meets or exceedsmeeting or

exceeding the national curriculum of the United States Department

of Transportation for EMS Dispatchers or its equivalent. (Section

3.70(a) of the Act)

2) An individual who is registered as an Emergency Medical Dispatcher on

February 1, 2003, and meets the qualifications of this Section shall be

certified as an Emergency Medical Dispatcher.

23) Reciprocity shall be granted to an individual who is licensedcertified as an

EMDEmergency Medical Dispatcher in another state and who meets the

requirements of this Section.

34) An individual who is certified or recertified by a national certification

agency shall be licensedcertified as an EMDEmergency Medical

Dispatcher if he or shehe/she meets the requirements of this Section.

45) The licensecertification shall be valid for a period of four years.

56) A licensedcertified EMD shall notify the Department within 30 days after


18



any changes in name or, address or employer. Notification may be in

person or by mail, phone, fax or electronic mail. Addresses may be

changed through the Department's online system. Name and gender

changes require legal documents, i.e., marriage license or court

documents.

67) A person may not represent himself or herself, nor may an agency or

business represent an agent or employee of that agency or business, as an

EMDEmergency Medical Dispatcher unless licensedcertified by the

Department as an EMDEmergency Medical Dispatcher. (Section

3.70(b)(11) of the Act)

b) EMD Protocols

1) The EMDEmergency Medical Dispatcher shall use the Department-

approved emergency medical dispatch Emergency Medical Dispatcher

priority reference system (EMDPRS) protocol selected for use by his or

herhis/her agency and approved by the EMS MDMedical Director.

Prearrival support instructions shall be provided in a non-discriminatory

manner and shall be provided in accordance with the EMDPRS

established by the EMS MDMedical Director of the EMS System in which

the EMD operates. (Section 3.70(a) of the Act)

2) EMD protocolsProtocols shall include:

A) Complaint-related question sets that query the caller in a

standardized manner;

B) Pre-arrival instructions associated with all question sets;

C) Dispatch determinants consistent with the design and configuration

of the EMS System and the severity of the event as determined by

the question sets; and

D) Post-dispatch instructions with all question sets.

3) If the dispatcher operates under the authority of an Emergency Telephone

System Board established under the Emergency Telephone System Act, the

protocols shall be established by the Board in consultation with the EMS


18



MDMedical Director. (Section 3.70(a) of the Act)

4) The EMD shall provide prearrival instructions in compliance with

protocols selected and approved by the System's EMS MDMedical

Director and approved by the Department. (Section 3.70(b) of the Act)

5) The Department and the EMS MDMedical Director shall approve

EMDPRS protocols that meet or exceed the requirements of subsection

(b)(2) and the National Highway Traffic Safety Administration (NHTSA)

Emergency Medical Dispatch: National Standard Curriculum (1996);

available from the U.S. Government Printing Office, P.O. Box 371954,

Pittsburgh, Pennsylvania 15250-7954; no later editions or amendments are

included.

c) EMD RelicensureRecertification

1) To apply for relicensurerecertification, the EMD shall submit the

following to the Department no less thanat least 30 days beforeprior to the

licensurecertification expiration date:

A) An approval signed by the EMS MD Medical Director and

recommending recertification;

B) Proof of completion of at least 12 hours annually of medical

dispatch CEcontinuing education. (Section 3.70(b)(7) of the Act)

2) The EMD shall file a written or electronic application for renewal with the

Department no less than 30 days before the license expiration data.


expiration of the license may not be processed by the expiration date and

will be subject to a late fee.

3) An EMD whose license has expired may, within 60 days after the license

expiration date, complete all relicensure requirements, and submit

relicensure fees (see Section 515.460), including a late fee, online or by

certified check or money order. Cash or personal check will not be

accepted. If all relicensure requirements have been met and there are no

pending or sustained disciplinary action against the EMD, the Department

will relicense the EMD.


18



42) An EMD who has not been recommended for relicensurerecertification by

the EMS MDMedical Director shall independently submit to the

Department an application for recertification. The EMS MDMedical

Director shall provide the EMD with a copy of the appropriate form to be

completed.

d) EMD EducationEmergency Medical Dispatcher Training Program

1) Department-approved emergency medical dispatchEmergency Medical

Dispatch training programs shall be conducted in accordance with the

standards of the National Highway Traffic Safety Administration

Emergency Medical Dispatch: National Standard Curriculum or

equivalent. (Section 3.70(b)(9) of the Act)

2) Applications for approval of EMD educationEmergency Medical

Dispatcher training programs shall be filed with the Department on forms

prescribed by the Department. The application shall contain, at a

minimum, the name of the applicant, agency and address, type of

education training program, Lead Instructor'slead instructor's name and

address, and dates of the educationtraining program.

3) Applications for approval, including a copy of the courseclass schedule

and course syllabus, shall be submitted at least 60 days in advance of the

first scheduled class. A description of the text book being used and

passing score for the courseclass shall be included with the application.

The application shall be made on a form provided by the Department and

will include, but not be limited to, the following:

A) Name of applicant, agency and address:

B) Lead Instructor's name, license number, address and contact

information;

C) Name and signature of the EMS MD and the EMS System

Coordinator;

D) Type of education program;


18



E) Dates, times and location of the education program (submit course

schedule);

F) Goals, objectives and course outline;

G) Methods, materials and text books;

H) Content and time consistent with the National Highway Traffic

Safety Administration Emergency Medical Dispatch: National

Standard Curriculum and additional course curricula required by

the Department. Initial or modified course syllabi shall be

approved by the Department;

I) Description of evaluation instruments (student, clinical units,

faculty and programs); and

J) Requirements for successful completion, when applicable.

4) All education, training, and CE continuing education courses for

EMDEmergency Medical Dispatcher shall be coordinated by at least one

approved EMS Lead Instructor. (Section 3.65(b)(5) of the Act) The EMS

LILead Instructor shall be approved by the Department based on the

requirements of Section 515.700.

5) EMDEmergency Medical Dispatcher training programs shall be

conducted by instructors licensed by the Department as an EMTEMT-B,

EMT-I, A-EMT or ParamedicEMT-P who:

A) are, at a minimum, licensedcertified as emergency medical

dispatchers;

B) have completed a Department-approved course on methods of

instruction;

C) have previous experience in a medical dispatch agency; and

D) have demonstrated experience as an EMS instructor. (Section

3.70(b)(14) of the Act)


18



6) Any change in the EMD educationtraining program's EMS LILead

Instructor shall require that an amendment to the application be filed with

the Department.

7) Questions for all quizzes and tests to be given during the EMD

educationtraining program shall be prepared by the EMS LILead

Instructor and available for review by the Department upon the

Department's request.

8) All approved programs shall maintain courseclass and student records for

seven years. The records , which shall be made available to the

Department for review upon request.

e) Emergency Medical Dispatch Agency Certification

1) To apply for certification as an emergency medical dispatch

agencyEmergency Medical Dispatch Agency, the person, organization or

government agency that operates an emergency medical dispatch

agencyEmergency Medical Dispatch Agency shall submit the following to

the Department:

A) A completed emergency medical dispatch agencyEmergency

Medical Dispatch Agency certification form that includes name

and address;

B) Documentation of the use on every request for medical assistance

of an emergency medical dispatch priority reference system

(EMDPRS) that complies with this Section and is approved by the

EMS MDMedical Director (Section 3.70(b)(10) of the Act); and

C) Documentation of the establishment of a continuous quality

improvement (CQI) program under the approval and supervision

of the EMS MDMedical Director. (Section 3.70(b)(10) of the Act)

The CQI program shall include, at a minimum, the following:

i) A quality assistance review process used by the EMD

agency to identify EMD compliance with the protocol;

ii) Random case review;


18



iii) Regular feedback of performance results to all EMDs;

iv) Availability of CQI reports to the Department upon request;

and

v) Compliance with the confidentiality provisions of the

Medical Studies Act [735 ILCS 5/8-2101].

2) A person, organization, or government agency shallmay not represent

itself as an emergency medical dispatch agencyEmergency Medical

Dispatch Agency unless the person, organization, or government agency is

certified by the Department as an emergency medical dispatch

agencyEmergency Medical Dispatch Agency. (Section 3.70(b)(12) of the

Act)

f) Emergency Medical Dispatch Agency Recertification

To apply for recertification, the emergency medical dispatch agencyEmergency

Medical Dispatch Agency shall submit an application to the Department, on a

form prescribed by the Department, at least 30 days prior to the certification

expiration date. The application shall document continued compliance with

subsection (e) of this Section.

g) Revocation or Suspension of EMD or Emergency Medical DispatchEMD Agency

Certification

1) The EMS MDMedical Director shall report to the Department whenever

an action has taken place that may require the revocation or suspension of

a licensecertificate issued by the Department. (Section 3.70(b)(4) of the

Act)

2) Revocation or suspension of an EMD license or emergency medical

dispatchEMD agencyAgency certification shall be in accordance with

Section 515.165515.420 of this Part.

h) Waiver of Emergency Medical Dispatch Requirements

1) The Department may modify or waive emergency medical dispatchEMD

requirements based on:


18



A) The scope and frequency of dispatch activities and the dispatcher's

access to training; or

B) Whether the previously attended dispatcher training program

merits automatic relicensurerecertification for the dispatcher.

(Section 3.70(b)(15) of the Act)

2) The following individuals are exempt from the requirements of this

Section:

A) Public safety dispatchers who only transfer calls to another

answering point that is responsible for dispatching of fire and/or

EMS Personnelpersonnel;

B) Dispatchers for volunteer or rural ambulance companies providing

only one level of care, whose dispatchers are employed by the

ambulance service and are not performing call triage, answering

911 calls or providing pre-arrival instructions.


Section 515.715 Provisional Licensure for First Responders and Emergency Medical

Responders

a) A person under the age of 18 shall not be issued an EMRa First Responder or

Emergency Medical Responder license. A person between the ages of 16 and 18

who has successfully completed a Department-approved EMRFirst Responder or

Emergency Medical Responder course may apply to the Department for a

provisional EMR licenseFirst Responder or Emergency Medical Responder

License. Upon satisfaction of all other applicable requirements, the Department

willshall issue a provisional license, subject to the following limitations:

1) A person with a provisional license shall not use his or her provisional

license except when affiliated with a recognized Illinois EMS System and

with the written authorization of that EMS System's EMS MDMedical

Director;

2) A provisional licensee shall not be placed in a position of primary


18



response to emergencies by any licensee of the Department, unless the

assignment satisfies all other provisions of this Part;

3) A provisional licensee shall function as an EMRa First Responder or

Emergency Medical Responder only while under the direct, personal and

continuous supervision of at least one other non-provisional EMR, EMT,

A-EMT, EMT-I, Paramedic or PHRNEMS personnel licensed at or above

the level of the provider's license. Nothing in this Part shall preclude a

provisionally licensed EMRFirst Responder or Emergency Medical

Responder from providing nationally recognized basic first aidNationally

Recognized Basic First Aid when not participating as part of the

emergency medical response of his or herhis/her affiliated agency;

4) A provisional licensee shall not be involved in the transport of a patient

unless he or she is under the direct, personal and continuous supervision of

at least two other non-provisional EMRs, EMTs, A-EMTs, EMT-Is,

Paramedics or PHRNsEMS personnel licensed at or above the level of the

transport provider's license. A provisional licensee shall not be used to

satisfy the staffing requirements of this Part;

5) A provisional licensee shall not operate, drive or maneuver a Department

licensed transport vehicle, rescue vehicle or non-transport agency owned

vehicle in connection with an emergency response or the transportation of

any patient; and

6) A provisional licensee will be recognized by the Department as an

unrestricted EMRmay apply to the Department for full licensure upon

turning 18 years of age as required in Section 515.725.

b) The EMS provider agency and the supervising licensee shall be jointly

responsible for assuring that no provisional licensee violates rules applicable to

the provisional licensee and shall jointly report, in writing, the nature and details

of any violations of this Section to the EMS MDMedical Director within 48 hours

after the occurrence. A failure to make written reports as required shall be

grounds for disciplinary action as authorized by this Part.

c) Violation of provisions applicable to provisional licensees shall be grounds for

any form of disciplinary action authorized by this Part, up to and including license

suspension and revocation.


18



d) Applicants for Provisional EMRFirst Responder shall verify compliance

withpursuant to Section 10-65(c) of the Illinois Administrative Procedure Act and

Section 515.620 of this Part on a form prescribed by the Department.

e) The Provisional EMRFirst Responder license fee isshall be the same fee

prescribed in the schedule for EMRsFirst Responders/Emergency Medical

Responders (see Section 575.460). The license fee shall be in effect for four years

and include the opportunity to apply for upgrade to First Responder/Emergency

Medical Responder licensure upon age 18.


Section 515.725 First Responder/Emergency Medical Responder

a) An EMR educationA First Responder/Emergency Medical Responder training

program shall be pre-approved by the Department and conducted only by an EMS

System or a community college under the direction of the EMS System.

b) Applications for approval of EMR educationFirst Responder/Emergency Medical

Responder training programs shall be filed with the Department on forms

prescribed by the Department. The application shall contain, at a minimum, name

of applicant, agency and address, type of training program, dates of training

program, and names and signatures of the EMS MDMedical Director (EMS MD)

and EMS System Coordinator.

c) Applications for approval, including a copy of the courseclass schedule and

course syllabus, shall be submitted at least 60 days in advance of the first

scheduled class.

d) The EMS MD of the EMS Systemsystem shall attest on the application form that

the educationtraining program willshall be conducted according to the national

EMS education standardsNational EMS Educational Curriculum. The EMR

educationFirst Responder or Emergency Medical Responder training program

shall include all components of the national EMS education standards, including

all modifications required by the Department.National EMS Educational

Curriculum and education and training in the administration and use of opioid

antagonists. The course hours shall minimally include 52 hours of didactic

education.


18



e) The EMR educationFirst Responder/Emergency Medical Responder training

program shall designate an EMS Lead Instructor who shall be responsible for the

overall management of the educationtraining program and shall be approved by

the Department based on requirements of Section 515.700.

f) The EMS MD shall electronically submit to the Department approval for

licensure for an EMRa First Responder/Emergency Medical Responder candidate

who is at least 18 years of age and has completed and passed all components of

the educationtraining program, has passed the final examinationFinal

Examination, and has paid the appropriate initial licensure fee (see Section

515.460). The initial licensure fee may be waived pursuant to Section 515.460(c).

g) All approved programs shall maintain courseclass and student records for seven

years, which shall be made available to the Department upon request.

h) CEContinuing education classes, seminars, workshops, or other types of programs

shall be approved by the Department before being offered to EMRFirst

Responder/Emergency Medical Responder candidates. An application for

approval shall be submitted to the Department on a form prescribed, prepared and

furnished by the Department at least 60 days prior to the scheduled event.

i) Approval will be granted provided that the application is complete and the content

of the program is based on topics or materials from the national EMS education

standardsNational EMS Educational Curriculum for the EMREmergency Medical

Responder.

j) EMRsA First Responder/Emergency Medical Responder shall be responsible for

submitting written proof of CE continuing education attendance to the EMS

System Coordinator or, for independent renewals, to the Department Regional

EMS Coordinator. The EMS System Coordinator or Department Regional EMS

Coordinator shall verify whether specific CE continuing education hours

submitted by the EMRFirst Responder/Emergency Medical Responder qualify for

renewal.

k) EMRsA First Responder/Emergency Medical Responder shall maintain copies of

all documentation concerning CE continuing education programs that he or she

has completed.


18



l) To renew an EMR license, the applicant shall submit the following to the

Department at least 60 days, but no more than 90 days, before the license

expiration.A First Responder/Emergency Medical Responder license shall be

valid for a period of four years. To be re-licensed as a First

Responder/Emergency Medical Responder, the First Responder/Emergency

Medical Responder shall submit an application for renewal with the Department,

on a form prescribed by the Department, and the $20 licensure renewal fee at least

30 days prior to the license expiration date. The renewal licensure fee may be

waived pursuant to Section 515.460(c).

1) The submission of an electronic transaction by the EMS MD will satisfy

the renewal application requirement for an EMRa First

Responder/Emergency Medical Responder who has been recommended

for re-licensure by the EMS MD.

2) The licensee shall file a written or electronic application for renewal with

the Department no less than 30 days before the license expiration date.


license expiration may not be processed by the expiration date and will be

subject to a late fee.

3) EMRs whose licenses have expired may, within 60 days after license

expiration, submit all relicensure requirements and submit the required

relicensure fees, including a late fee, online or by certified check or money

order. Cash or personal check will not be accepted. If all relicensure

requirements have been met, and there are no pending disciplinary actions

against the EMR, the Department will relicense the EMR.

42) An EMRA First Responder/Emergency Medical Responder who has not

been recommended for relicensurere-licensure by the EMS MD shall

independently submit to the Department an application for renewal. The

EMS MD shall provide the EMRFirst Responder/Emergency Medical

Responder with a copy of the application form.

m) A written recommendation signed by the EMS MD shall be provided to the

Department regarding completion of the following requirements:


18



1) 24 hours of CE continuing education every four years. The System shall

define in the EMS Program Plan the number of CE continuing education

hours to be accrued each year for re-licensure; and

2) The licensee shall have a current CPR for Healthcare Providers card that

covers didactic and psychomotor skills that meet or exceed American

Heart Association guidelines.Current certification in CPR for Healthcare

Providers in accordance with the standards of a nationally recognized

organization such as the American Heart Association or American Red

Cross, which includes both a didactic and clinical skills station.

n) EMRs whose licenses have expired may, within 60 days after license expiration,

submit all relicensure requirements and submit the required relicensure fees,

including a late fee, online or in the form of a certified check or money order.

Cash or personal check will not be accepted. If all relicensure requirements have

been met, and there are no pending disciplinary actions against the EMR, the

Department will relicense the EMR.A First Responder/Emergency Medical

Responder whose licensure has expired may, within 60 days after licensure

expiration, submit all re-licensure material as required in this Part and a fee of $50

in the form of a certified check or money order (cash or personal check will not be

accepted). If all material is in compliance with this Section and there is no

disciplinary action pending against the First Responder/Emergency Medical

Responder, the Department will re-license the First Responder/Emergency

Medical Responder.

o) EMRsFirst Responders who are not affiliated with an EMS Systemsystem shall

have equipment immediately available to provide the standard of care established

by the national EMS education standardsNational EMS Educational Curriculum

for the EMRFirst Responder.


Section 515.730 Pre-Hospital Registered Nurse

a) To be licensedapproved as a PHRNPre-Hospital RN, an individual shall:

1) Be an RNa Registered Professional Nurse in accordance with the Nurse

Practice ActNursing and Advanced Practice Nursing Act;


18



2) Complete an education curriculum formulated by an EMS System and

approved by the Department, which consists of at least 4024 hours of

classroom and psychomotor education and measurement of competency

equivalent to the entry level Paramedic program; and practical

educationtraining, including, but not limited to, advanced airway

techniques, ambulance operations, extrication, telecommunications, and

pre-hospital cardiac and trauma care of both the adult and pediatric

population (Section 3.80(c)(1)(A) of the Act);

3) Complete a minimum of 10 ALS runs supervised by a licensed physician,

an approved PHRNPre-Hospital RN or a Paramedican EMT, only as

authorized by the EMS MDMedical Director; and

4) New applicants completing course work after January 1, 2018 shall

successfully pass the State of Illinois Paramedic licensure examination as

the PHRN cognitive competency examination; and

54) The EMS MD shall electronically submit to the Department, using the

Department's Electronic Transaction Form, making a recommendation for

licensure for a PHRN candidate who has completed and passed all

components of the PHRN education program and passed the final

examination. The application will include demographic information,

social security number, child support statement, felony conviction

statement, and applicable fees and shall require EMS System

authorization.Complete the Pre-Hospital RN application form as

prescribed by the Department.

b) The EMS Medical Director shall approve individuals meeting subsection (a) of

this Section as a Pre-Hospital RN for four years.

bc) To apply for a four year renewal, the PHRN shall comply with Section

515.590.The EMS Medical Director shall reapprove Pre-Hospital RNs every four

years if the Pre-Hospital RN:

1) Is a Registered Professional Nurse in accordance with the Nursing and

Advanced Practice Nursing Act; and

2) Has completed 120 hours of continuing education, the content of which

shall be consistent with the System's continuing education requirements


18



for EMT-Ps; and

3) Has a current CPR for Healthcare Providers card that covers:

A) Adult one-rescuer CPR,

B) Adult foreign body airway obstruction management,

C) Pediatric one-rescuer CPR,

D) Pediatric foreign body airway obstruction management,

E) Adult two-rescuer CPR, and

F) AED.

cd) Inactive Status

1) Prior to the expiration of the current licenseapproval, a PHRNPre-Hospital

RN may request to be placed on inactive status as outlined in Section

515.600. The request shall be made in writing to the EMS MD.Medical

Director and shall contain the following information:

A) Name of individual,

B) Date of approval,

C) Circumstances requiring inactive status, and

D) A statement that recertification requirements have been met by the

date of the application for inactive status.

2) The EMS Medical Director will review and grant or deny requests for

inactive status.

23) A PHRN who wants to restore his or her license to active status shall

follow the requirements set forth in Section 515.600.For the Pre-Hospital

RN to return to active status, the EMS Medical Director must document

that the Pre-Hospital RN has been examined (physically and mentally) and


18



found capable of functioning within the EMS System, that the Pre-

Hospital RN's knowledge and clinical skills are at the active Pre-Hospital

RN level, and that the Pre-Hospital RN has completed any refresher

training deemed necessary by the EMS system. If the inactive status was

based on a temporary disability, the EMSMD shall also verify that the

disability has ceased.

34) If the PHRN inactive status period exceeds 48 months, the licensee shall

redemonstrate competencies and successfully pass the State Paramedic

examination.During inactive status, the individual shall not function as a

Pre-Hospital RN.

45) The EMS MDMedical Director shall notify the Department in writing of a

PHRN'sPre-Hospital RN's approval, reapproval, or granting or denying of

inactive status within 10 days after any change in a PHRN'sPre-Hospital

RN's approval status.

e) A PHRNPre-Hospital RN shall notify the Department within 30 days after any

change in name or address. Notification may be in person, or by mail, phone, fax,

or electronic mail. Addresses may be changed through the Department's online

system: https://emslicensing.dph.illinois.gov/Clients/ILDOHEMS/Private/

AddressChange/AddressLogin.aspx. Names and gender changes require legal

documents, i.e., marriage license or court documents.


Section 515.740 Emergency Communications Registered Nurse

a) To be licensedapproved as an ECRN, an individual shall:

1) Be an RN a Registered Professional Nurse in accordance with the Nurse

Practice ActNursing and Advanced Practice Nursing Act;

2) Complete an education curriculum formulated by an EMS System and

approved by the Department, which consists of at least 40 hours of

classroom and practical educationtraining for both the adult and pediatric

population, including telecommunications, Systemsystem standing medical

orders, and the procedures and protocols established by the EMS

MDMedical Director (Section 3.80(c)(1)(B) of the Act);


18



3) Complete eight hours of field experience supervised by a Paramedican

EMT, only as authorized by the EMS MD.Medical Director; and

4) Complete the ECRN application form as prescribed by the Department.

b) The EMS MD shall electronically submit to the Department, using the

Department's Electronic Transaction Form, a recommendation for licensure for an

ECRN candidate who has completed and passed all components of the education

program and passed the final examination. The application will include

demographic information, social security number, child support statement, felony

conviction statement, applicable fees, and EMS System authorization.The EMS

Medical Director shall approve individuals meeting subsection (a) of this Section

as an ECRN for four years.

c) To apply for a four year renewal:

1) The ECRN shall submit proof of the following no less than 60 days, but

not more than 90 days, before the license expirationThe EMS Medical

Director shall reapprove ECRNs every four years if the ECRN:

A1) Is an RN a Registered Professional Nurse with an unencumbered

license in the state in which he or she practicesin accordance with

the Nursing and Advanced Practice Nursing Act; and

B2) Has completed 32 hours of continuing education in a four-year

period.

2) The ECRN shall submit a written or electronic application for renewal

with the Department no less than 30 days before the license expiration.


expiration may not be processed by the expiration date and shall be subject

to a late fee.

3) An ECRN whose license has expired may, within 60 days after the license

expiration, submit all relicensure requirements and submit the required

relicensure fees, including a late fee, online or by a certified check or

money order. Cash or personal check will not be accepted. If all

relicensure requirements have been met, and there are no pending


18



disciplinary actions against the ECRN, the Department will relicense the

ECRN.

d) Inactive Status

1) Prior to the expiration of the current ECRN licenseapproval, the ECRN

may request to be placed on inactive status. The request shall be made in

writing to the EMS MDMedical Director and shall contain the following

information:

A) Name of individual;,

B) Date of approval;,

C) Circumstances requiring inactive status;,

D) A statement that recertification requirements have been met by the

date of the application for inactive status.

2) The EMS MD shallMedical Director will review and grant or deny

requests for inactive status.

3) For the ECRN to return to active status, the EMS MD shallMedical

Director must document that the ECRN has been examined (physically

and mentally) and found capable of functioning within the EMS System,

that the ECRN's knowledge and clinical skills are at the active ECRN

level, and that the ECRN has completed any refresher educationtraining

deemed necessary by the EMS System. If the inactive status was based on

a temporary disability, the EMS System shall also verify that the disability

has ceased.

4) During inactive status, the individual shall not function as an ECRN at any

level.

5) The EMS MDMedical Director shall notify the Department in writing of

the ECRN's approval, reapproval, or granting or denying inactive status

within 10 days after any change in an ECRN's approval status.

e) An ECRN shall notify the Department within 30 days after any change in name or


18



address. Notification may be in person, or by mail, phone, fax, or electronic mail.

Addresses may be changed through the Department's online system:

https://emslicensing.dph.illinois.gov/Clients/ILDOHEMS/Private/AddressChange

/AddressLogin.aspx. Name and gender changes require legal documents, i.e.,

marriage license or court documents.


Section 515.750 Trauma Nurse Specialist

a) TNS EducationTrauma Nurse Specialist (TNS) Training Sites

1) TNSTrauma Nurse Specialist courses shall be conducted only at hospitals

that have been designated by the Department as TNS education

sitesTraining Sites.

2) The Department shall designate TNS education sitesTraining Sites based

upon regionalRegional needs, the educational capabilities of interested

hospitals to provide advanced trauma education to nurses, and

participation in an EMS System.

3) The TNSTrauma Nurse Specialist Program Plan (see Section 515.760)

shall serve as a standard TNS program plan. The Department will approve

program plans based on compliance with Section 515.760.

4) The Chief Executive Officer of the hospital designated as a TNS education

siteTraining Site shall appoint, and endorse in writing to the Department, a

Trauma Nurse Specialist Course Coordinator (TNSCC) to plan,

coordinate, implement and evaluate the TNS course and TNS program

activities, who meets the following requirements:

A) Is an RN a Registered Professional Nurse with an unencumbered

license in the stateState in which he or she practices;

B) Is employed by the TNS education siteTraining Site;

C) Has at least three years of experience as an RN a Registered

Professional Nurse in an emergency department or critical care

setting in a trauma center;


18



D) Holds a certificate of TNS course completion issued by the

Department as provided in this Section; and

E) Has a minimum of 50 hours of teaching experience in

emergency/critical care nursing courses.

b) The TNSCC shall admit to the TNS course only those individuals who have met

the following requirements:

1) Are currently licensed as an RN a Registered Professional Nurse in the

state in which they are practicing, as verified by the submission of a

photocopy of the official license showing the license number and

expiration date; and

2) Have at least 1500 hours of clinical care experience in an emergency

department or critical care unit (preferred) as an RNa Registered

Professional Nurse, with successful completion of a unit orientation.

c) The TNS course shall reflect evidence-based content as created by the TNSCC

and approved by the Department as being in compliance with the TNS

programTrauma Nurse Specialist Program (see Section 515.760).

d) Testing

1) A standardized practical examination shall be administered. The practical

examination shall include an assessment station at which the student will

evaluate and stabilize a simulated critically injured trauma patient.

A) The student shall have a maximum of 10 minutes to evaluate and

stabilize the patient.

B) The TNSCC shall develop the passing criteria, which shall be

included in the program plan developed in accordance with Section

515.760.

C) A student shall be given three attempts to successfully complete

the practical examination.


18



2) A student who has successfully completed course requirements per

procedure and paid all fees shall be eligible to take the final written

examination. The TNSCC shall develop the final examination and shall

provide the examination to the Department. The TNSCC shall develop

passing criteria, which shall be included in the Program Plan developed in

accordance with Section 515.760.

A) A student shall be given three attempts to successfully complete

the final written examination.

B) The candidate shall successfully achieve a passing score on the

State examination within 12 months after completing the

educationtraining program.

3) Examination Application

A) Candidates for the TNS examination shall apply to take the

examination using the Department form. Information is available

on the Department's website: http://www.continentaltesting.net/

ProfDetail.aspx?Entity=5&ProfID=73.

B) A roster of examination candidates from each TNS

educationtraining site is created by the TNSCC who approves the

candidate's application and is submitted to the Department.

C) The candidate shall submit a fee for each written examination

attempt (see Section 515.460).

e) Failure to appear for the examination on the scheduled date, at the time and place

specified, shall result in forfeiture of the examination fee.

f) If a candidate does not achieve a passing grade on the written examination, the fee

for the re-test is the same as for initial examination.

g) All fees submitted for licensure examinationcertification are nonrefundablenon-

refundable.

h) Testing Option − Challenge

Any individual who has met the admission requirements provided in subsection


18



(b) of this Section has the option of taking the TNS practical examination and

final examination without having completed the didactic sessions (referred to as

"challenging" the examination). The individual shall file a request to challenge the

examination with the TNS education siteTraining Site at least 30 days prior to the

scheduled practical examination. Candidates who elect to challenge the

examination will have only one attempt to successfully complete the written and

practical examinations to demonstrate proficiency.

i) LicensureCertification as a TNS

1) The Department will licensecertify a student or candidate after the student

or candidate has achieved a passing score on the final written and practical

examinations and has paid any required fees (see Section 515.460).

2) LicensureCertification is effective for four years.

j) TNS RelicensureRecertification

1) A TNS may be relicensedrecertified by either submitting approved

trauma-specific CE continuing education or taking the current TNS final

written examination as provided in this Section.

2) A TNS may apply for relicensurerecertification by submitting the

following to a TNSCC at least 40 days, but no more than 90 days, prior to

licensecertification expiration:

A) Documentation of 64 hours of approved trauma-specific

CEcontinuing education/activities for nursing or CME acquired

over four years, using the TNS CEContinuing Education (CE)

Summary Submission form. CEContinuing education approval

will be granted, provided that the application is complete and the

content of the program educational activity is based on topics listed

in the TNS programTrauma Nurse Specialist Program in place at

the time the CE is acquired;

B) Completed Child Support form supplied by the Department; and

C) RelicensureRecertification fee (see Section 515.460).


18



3) The TNS final written examination is an alternative option for

relicensurerecertification. A total of three attempts are allowed for the

relicensurerecertification candidate to achieve a successful examination

score prior to the lapse date. The process used in subsection (d)(3) of this

Section is used for the application, assignment to an examination site, and

fee submission.

4) The recertification candidate applying for license renewal is responsible

for his/her record keeping and timely submission of CEcontinuing

education documentation.

5) The licensecertification of a TNS who has failed to file an application for

recertification or an application for an extension prior to the lapse date

shall terminate on the day following the expiration date shown on the

certificate.

k) Inactive Status

1) Prior to the expiration of the current licensecertification, a TNS may

request to be placed on inactive status. The request shall be in writing, on

a form prescribed by the Department, and shall contain the following

information:

A) Name of individual;

B) Date of certification;

C) Circumstances requiring inactive status; and

D) A statement that relicensurerecertification requirements have been

met by the date of the application for inactive status.

CEContinuing education hours shall be current at the prorated rate

of 1.3 hours per month for the current licensurecertification period.

2) The Department will review requests for inactive status. The Department

will notify the individual TNS in writing of its decision based on

subsection (k)(1) of this Section.

3) To return to active status, the TNS shall apply in writing within 36 months


18



after being placed on inactive status. The application shall include a

current unencumbered RN license and a fee (see Section 515.460).

4) Inactive status is valid for only 36 months. If status is not reactivated, the

individual shall successfully complete the examination or retake the

course (see subsection (h) of this Section).

5) During inactive status, the individual shall not function as a TNS.

l) A TNS whose licensecertification has expired may, within 60 days after

certification expiration, submit all relicensurerecertification material as required

byin this Section and a fee (see Section 515.460), in the form of an organization's

payment, a certified check, or a money order (cash or personal check will not be

accepted). If the application for license renewalrecertification request material

meets the requirements of this Section and there is no disciplinary action pending

against the TNS, the Department will renewrecertify the TNS license.

m) A TNS shall notify the Department within 30 days after any change in name or

address. Notification may be in person, or by mail, phone, fax, or electronic mail.

Addresses may be changed through the Department's online system:

https://emslicensing.dph.illinois.gov/Clients/ILDOHEMS/Private/AddressChange

/AddressLogin.aspx. Name and gender changes require legal documents, i.e.,

marriage licenses or court documents.

n) The Department shall have the authority and responsibility to suspend, revoke or

renew the licensedeny renewal of the certification of a TNS, after an opportunity

for hearing by the Department, if findings show that the TNS has failed to

maintain proficiency in the level of skills for which the TNS is licensedcertified or

has failed to comply with relicensurerecertification requirements. (Section

3.75(b)(8) of the Act) Hearings shall be conducted in accordance with Practice

and Procedure in Administrative Hearings.


Section 515.760 Trauma Nurse Specialist Program Plan

A TNS program planTrauma Nurse Specialist (TNS) Program Plan shall contain the following

information:


18



a) The name, address and fax number of the TNS site hospitalSite Hospital;

b) The namesname(s) and resumesresume(s) of the TNSCCsTNS Course

Coordinator(s) (TNSCC);

c) Current lettersletter(s) of commitment from the following persons at the TNS site

hospitalSite Hospital that describe the commitment of the writer and his or her

office to the development and ongoing operation of the TNS programProgram and

that state the writer's understanding of and commitment to TNS programProgram

staffing and educational requirements:

1) The Chief Executive Officer of the hospital; and

2) The administrative representativeAdministrative Representative

responsible for the TNS program;

d) A letter of commitment from the above administrator that describes the TNS site's

agreement to:

1) Be responsible for providing initial TNS education and CE continuing

education based on region per Region needs, including coordinating

didactic and clinical experiences;

2) Provide travel and meeting time and expenses; clerical support including

access to a computer with word processing and data base management

capabilities; audiovisual equipment; printing; and educationtraining aides;

3) Ensure that the Department has access to all TNS program records under

the authority of the TNS site during any Department inspection,

investigation or site survey;

4) Notify the Department of any known changes in TNS personnel;

5) Be responsible for the total management of the TNS programProgram at

that site and collaborative management of the TNS programProgram with

all TNSCCs and the Department;

6) Ensure that a copy of the application for renewal (a form supplied by the

Department) is provided to every TNS within the regionRegion (in


18



collaboration with TNSCCs); and

7) Be responsible for compliance with the provisionsprovisons of Section

515.750 of this Part.

e) The TNS program manualProgram Manual that shall be maintained at each TNS

site and shall include the following:

1) Education and Training

A) Content and curricula of the TNS educational or /certification

program including:

i) Entrance and completion requirements;

ii) Program schedules;

iii) Goals and objectives;

iv) Subject areas;

v) Didactic requirements, including skills laboratories;

vi) Clinical requirements;

vii) Testing formats.

B) CE Continuing education for TNSs, including:

i) RelicensureRecertification requirements (hours, types of

programs, etc.);

ii) Site program for TNS participants: types of activities

covered (e.g., trauma case review, morbidity and mortality

conferences, grand rounds, etc.);

iii) Requirements for approval of academic course work;

iv) Didactic programs offered by the site;


18



v) Clinical opportunities available within the regionRegion;

vi) Record-keeping requirements for the individual.

C) Renewal Protocols

i) Examination requirements for TNSs;

ii) Procedures for renewal of TNSs;

iii) Submission of transaction cards for TNSs meeting renewal

requirements;

iv) Providing Department renewal application forms to TNSs

who have not met renewal requirements according to

regionRegion records.

D) TNS education and information, including:

i) Distribution of policy and protocol changes;

ii) Methods for communicating updates on site and

regionalRegional activities, and other matters of medical,

legal and/or professional interest;

iii) Locations of resource materials, forms, schedules, etc.

2) Quality improvement measures should be performed on a semiannual

basis and be available upon Department request.

3) Any procedures regarding disciplinary and/or suspension decisions and the

review of those decisions that the site has elected to follow in addition to

those required by the Act.

4) The responsibilities of the TNSCC, as designated by the Department,

including:

A) Curriculum development and maintenance;


18



B) Creation and maintenance of the program policies and procedures;

C) Planning, organizing, implementing and evaluating the TNS

course at that site;

D) Planning, organizing, implementing and evaluating CE continuing

education offerings in their regionsRegions;

E) Maintenance of a TNS database within the regiontheir Region to

facilitate TNS relicensurerecertification;

F) Archive TNS educationtraining records, including: curriculum,

handouts, and participant information for minimum of 7 years;

G) Attend not less thanAttendance at 75 percent of bimonthly

scheduled meetings.

5) All TNS sites in existence upon adoption of this Section shall submit to

the Department a revised program planProgram Plan that conforms to

requirements of this Part. The Department will approve program

plansProgram Plans that meet the requirements of this Part.


SUBPART F: VEHICLE SERVICE PROVIDERS

Section 515.810 EMS Vehicle System Participation

For each EMS vehicle participating within the System, the following documentation shall be

provided:

a) A list of the following:

1) The year, model, make, and vehicle identification number;

2) The license plate number;

3) The Department license number;


18



4) The base location address; and

5) The level of service (advanced, intermediate or basic);

b) A description of the vehicle's role in providing advanced life support,

intermediate life support, basic life support and patient transport services within

the System;

c) Definitions of the primary, secondary and outlying areas of response for each

EMS vehicle used within the System;

d) A map or maps indicating the base locations of each EMS vehicle, the primary,

secondary and outlying areas of response for each EMS vehicle, the population

base of each service area and the square mileage of each service area;

e) A commitment to optimum response times up to six minutes in primary coverage

areas, six to 15 minutes in secondary coverage areas, and 15 to 20 minutes in

outlying coverage areas;

f) A commitment to 24-hour coverage;

g) A commitment that within one year after Department approval of a new or

upgraded vehicle service, each ambulance at the scene of an emergency and

during transport of emergency patients to and between hospitals will be staffed in

accordance with the requirements of Section 515.830(f)(1) and (2) of this Part;

h) Copies of written mutual aid agreements with other providers andand/or a

description of the provider's own back-up system, which detail how adequate

coverage will be ensured when an EMS vehicle is responding to a call and a

simultaneous call is received for service within that vehicle's coverage area;

i) A statement that emergency services that an EMS vehicle is authorized to provide

shall not be denied on the basis of the patient's inability to pay for such services;

j) An agreement to file an appropriate EMS run sheet or form for each emergency

call, as required by the System;

k) An agreement to maintain the equipment required by Section 515.830 of this Part


18



and by the System in working order at all times, and to carry the medication as

required by the System;

l) An agreement to notify the EMS MDMedical Director of any changes in

personnel providing pre-hospital care in the System in accordance with the

policies in the System manualManual;

m) A copy of its current FCC licenseslicense(s);

n) A description of the mechanism and specific procedures used to access and

dispatch the EMS vehicles within their respective service areas;

o) A list of all personnel who will provideproviding pre-hospital care, their license

numbers, expiration dates and levels of licensure (EMTEMT-B, EMT-I, A-EMT,

ParamedicEMT-P), and their PHRN or physicianPre-Hospital RN or MD status;

p) An agreement to allow the Department access to all records, equipment and

vehicles relating to the System during any Department inspection, investigation or

site survey;

q) An agreement to allow the EMS MDMedical Director or designee access to all

records, equipment and vehicles relating to the System during any inspection or

investigation by the EMS MDEMSMD or designee to determine compliance with

the System program planProgram Plan;

r) Documentation that its communications capabilities meet the requirements of

Section 515.410 of this Part;

s) Documentation that each EMS vehicle participating in the System complies with

the vehicle design, equipment and extrication criteria as provided in Section

515.830(a)(1) and (b) of this Part; and

t) An agreement to follow the approved EMS policies and protocols of the System.


Section 515.825 Alternate Response Vehicle

a) Ambulance Assistance Vehiclesassistance vehicles


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Ambulance assistance vehicles are dispatched simultaneously with an ambulance

and assist with patient care prior to the arrival of the ambulance.

AmbulanceThese assistance vehicles include fire engines, trucks, squad cars or

chief's cars that contain the staff and equipment required by this Section.

Ambulance assistanceThese vehicles shall not function as assist vehicles if staff

and equipment required by this Section are not available. The agency shall

identify ambulance assistancethese vehicles as a program plan amendment

outlining the type and level of response that is planned. The ambulance assistance

vehicle shall not transport or be a primary response vehicle but a supplementary

vehicle to support EMS services. The ambulance assistance vehicle shall be

dispatched only if needed. Ambulance assistance vehicles shall be classified as

either:

1) Advanced ambulance assistance vehicles. These vehicles shall be staffed

with a minimum of one Paramedic, PHRN or physicianEMT-P and shall

have all of the required equipment; or

2) Intermediate ambulance assistance vehicles. These vehicles shall be

staffed with a minimum of one EMT, EMT-I, A-EMT, Paramedic, PHRN

or physician and shall have all of the required equipment; or

3) Basic ambulance assistance vehicles. These vehicles shall be staffed with

a minimum of one EMT, EMT-I, A-EMT, Paramedic, PHRN or

physicianEMT-B and shall have all of the required equipment; or

4) First Responder assistance vehicles. These vehicles shall be staffed with a

minimum of one EMR, EMT, EMT-I, A-EMT, Paramedic, PHRN or

physician First Responder and shall have all of the required equipment.

b) Non-Transport Vehiclestransport vehicles

Non-Transport VehiclesNon-transport vehicles are dispatched prior to dispatch of

a transporting ambulance and. These vehicles include ambulances and fire

engines that contain the staff and equipment required by this Section. The vehicle

service provider shall identify non-transportthese vehicles as a program plan

amendment outlining the type and level of response that is planned. Non-

transportThese vehicles shall be staffed 24 hours per day, every day of the year.

1) ALSALS/ILS Non-Transport Vehiclesnon-transport vehicles. These

vehicles shall have a minimum of either one System authorized Paramedic


18



or one PHRNEMT-P, or one EMT-I and one additional System authorized

A-EMT, EMT-I, EMT or physicianother EMT-B, and shall have all of the

required equipment.

2) ILS Non-Transport Vehicles shall have a minimum of either one System

authorized A-EMT, EMT-I, Paramedic or PHRN and one additional

System authorized EMT, A-EMT, EMT-I, Paramedic, PHRN or physician

and shall have the required equipment.

3) BLS Non-Transport vehiclesnon-transport vehicles. These vehicles shall

be staffed by one System authorized EMT, A-EMT, EMT-I, Paramedic or

physician on all responseshave a minimum of two EMT-Bs and shall have

all of the required equipment.

c) Equipment Requirementsrequirements

Each vehicle used as an alternate response vehicle shall meet the following

equipment requirements, as determined by the Department by an inspection.

1) FunctionalFull portable oxygen cylinder, with a capacity of not less than

350 liters

2) Dial flowmeter/regulator for 15 liters per minute

3) Delivery tubes

4) Adult, child and infant masks

5) Adult squeeze bag and valve, with adult and child masks

6) Child squeeze bag and valve, with child, infant and newborn size masks

7) Airways, oropharyngeal − adult, child and infant (sizes 00-5)

8) Airways, nasopharyngeal with lubrication (sizes 12-30F)

9) Manually operated suction device

10) Triangular bandages or slings


18



11) Roller bandages, self-adhering (4" by 5 yds)

12) Trauma dressings

13) Sterile gauze pads (4" by 4")

14) Vaseline gauze (3" by 8")

15) Bandage shears

16) Adhesive tape rolls

17) Blanket

18) Long backboard (if required by the EMS System protocols)

19) Cervical collars − adult, child and infant

20) Extremity splints − adult/child, long/short

21) Adult/child/infant blood pressure cuffs and gauge

22) Stethoscope

23) Burn sheet, individually wrapped

24) Sterile saline or water solution (1,000ml), plastic bottles or bags

25) Obstetrical kit, sterile − minimum one, pre-packaged with instruments,

bulb syringe and cord clamps

26) Thermal absorbent blanket and head cover, aluminum foil roll or

appropriate heat reflective material – minimum one

27) Cold packs

28) EMS run reports

29) Nonporous disposable gloves


18



30) Personal protective equipment (PPE), including gowns,

eye/nose/mouthEye/nose/mouth protection or face shields

31) Flashlight

32) Equipment to allow reliable communications with hospital

33) ILS/ALS System-approved equipment

A) Drug box

B) Airway equipment, including laryngoscope and assorted blades

C) Monitor/defibrillator, equipped with pediatric size defibrillation

pads or paddles

34) Opioid antagonist, including, but not limited to, Naloxone, with

administration equipment appropriate for the licensed level of care

35) Automated external defibrillator (AED) that includes pediatric capabilities

e) Registration of Non-transportnon-transport Provider Agenciesagencies

Each non-transport provider shall complete and submit to the Department either

the EMS non-transport provider application or EMS non-transport application for

an existing transport provider, available on the Department's website:

http://dph.illinois.gov/topics-services/emergency-preparedness-

response/ems/prov-vehLic.one of the following: the First Responder Provider

Initial EMS System Application (Form First 10/97), the Non-Transport Provider

EMS System Application (Form NT 5/97), or the Non-Transport Provider

Application (Form NT 6/99).

f) Inspection of Non-transportnon-transport EMS Providersproviders

The DepartmentRegional EMS Coordinator will scheduleperform initial

inspections. Thereafter, non-transport ambulance assist providers shall perform

annual self-inspections, using forms provided by the Department, and shall submit

the form to the EMS System for submission to the Department upon completion

of the inspection. The DepartmentRegional EMS Coordinator will perform

inspections randomly or as the result of a complaint.


18



g) Issuance and Renewalrenewal of Licenselicense

Upon payment of the appropriate fee, qualifying non-transport providers shall be

issued a provider license that lists a number for each level of care approved.

Licenses will not be issued for individual Non-Transport Vehiclesnon-transport

vehicles. Providers shall inform the EMS System and the Department of any

modifications to the application, using the System Modification forms (sys-mod).

Licenses will be issued for one year and will be renewed upon completion of the

self-inspection.


Section 515.830 Ambulance Licensing Requirements

a) Vehicle Design

1) Each new vehicle used as an ambulance shall comply with the criteria

established by the Federal Specifications for Ambulance, KKK-A-1822F,

United States General Services AdministrationU.S. General Services

Administration's Specification for Ambulance (KKK-A-1822F), with the

exception of Section 3.16.2, Color, Paint and Finish.

2) A licensed vehicle shall be exempt from subsequent vehicle design

standards or specifications required by the Department in this Part, as

long as the vehicle is continuously in compliance with the vehicle design

standards and specifications originally applicable to that vehicle, or until

the vehicle's title of ownership is transferred. (Section 3.85(b)(8) of the

Act)

3) The following requirements listed in Specification KKK-A-1822F shall be

considered mandatory in Illinois even though they are listed as optional in

that publication:

A) 3.7.7.1 Each vehicle will be equipped with either a battery charger

or battery conditioner (see 3.15.3 item 7).

B) 3.8.5.2 Patient compartment checkout lights will be provided (see

3.15.3 item 9).


18



C) 3.12.1 An oxygen outlet will be provided above the secondary

patient (see 3.15.4 M9).

D) 3.15.4M3 Electric clock with sweep second hand will be provided.

b) Equipment Requirements – Basic Life Support Vehicles Each ambulance used as

a Basic Life Support vehicle shall meet the following equipment requirements, as

determined by the Department by an inspection:

1) Stretchers, Cots, and Litters

A) Primary Patient Cot

Shall meet the requirements of sections 3.11.5, 3.11.8.1 of KKK-

A-1822F.

B) Secondary Patient Stretcher

Shall meet the requirements of sections 3.11.5, 3.11.5.1, 3.11.8.1

of KKK-A-1822F.

2) Oxygen, Portableportable

Shall meet the operational requirements of section 3.12.2 of KKK-A-

1822-F.

3) Suction, Portableportable

A) Shall meet the operational requirements of section 3.12.4 of KKK-

A-1822F.

B) A manually operated suction device is acceptable if approved by

the Department.

4) Medical Equipment

A) Squeeze bag-valve-mask ventilation unit with adult size

transparent mask, and child size bag-valve-mask ventilation unit

with child, infant and newborn size transparent masks

B) Lower-extremity traction splint, adult and pediatric sizes


18



C) Blood pressure cuff, one each, adult, child and infant sizes and

gauge

D) Stethoscopes, two per vehicle

E) Pneumatic counterpressure trouser kit, adult size, optional

F) Long spine board with three sets of torso straps, 72" x 16"

minimum

G) Short spine board (32" x 16" minimum) with two 9-foot torso

straps, one chin and head strap or equivalent vest type (wrap

around) per vehicle; extrication device optional

H) Airway, oropharyngeal – adult, child, and infant, sizes 0-5

I) Airway, nasopharyngeal with lubrication, sizes 14-34F

J) Two adult and two pediatric sized non-rebreather oxygen masks

per vehicle

K) Two infant partial re-breather oxygen masks per vehicle

L) Three nasal cannulas, adult and child size, per vehicle

M) Bandage shears, one per vehicle

N) Extremity splints, adult, two long and short per vehicle

O) Extremity splints, pediatric, two long and short per vehicle

P) Rigid cervical collars – one pediatric, small, medium, and large

sizes or adjustable size collars per vehicle. Shall be made of rigid

material to minimize flexion, extension, and lateral rotation of the

head and cervical spine when spine injury is suspected

Q) Patient restraints, arm and leg, sets

R) Pulse oximeter with pediatric and adult probes


18



S) AED or defibrillator that includes pediatric capability

5) Medical Supplies

A) Trauma dressing – six per vehicle

B) Sterile gauze pads – 20 per vehicle, 4 inches by 4 inches

C) Bandages, soft roller, self-adhering type, 10 per vehicle, 4 inches

by 5 yards

D) Vaseline gauze – two per vehicle, 3 inches by 8 inches

E) Adhesive tape rolls – two per vehicle

F) Triangular bandages or slings – five per vehicle

G) Burn sheets – two per vehicle, clean, individually wrapped

H) Sterile solution (normal saline) – four per vehicle, 500 cc or two

per vehicle, 1,000 cc plastic bottles or bags

I) Thermal absorbent blanket and head cover, aluminum foil roll or

appropriate heat reflective material – minimum one

J) Obstetrical kit, sterile – minimum one, pre-packaged with

instruments and bulb syringe

K) Cold packs, three per vehicle

L) Hot packs, three per vehicle, optional

M) Emesis basin – one per vehicle

N) Drinking water – one quart, in non-breakable container; sterile

water may be substituted


18



O) Ambulance emergency run reports – 10 per vehicle, on a form

prescribed by the Department or one that contains the data

elements from the Department-prescribed form as described in

Section 515.Appendix E or electronic documentation with paper

backup

P) Pillows – two per vehicle, for ambulance cot

Q) Pillowcases – two per vehicle, for ambulance cot

R) Sheets – two per vehicle, for ambulance cot

S) Blankets – two per vehicle, for ambulance cot

T) Opioid antagonist, including, but not limited to, Naloxone, with

administration equipment appropriate for the licensed level of care

U) Urinal

V) Bedpan

W) Remains bag, optional

X) Nonporous disposable gloves

Y) Impermeable red biohazard-labeled isolation bag

Z) Face protection through any combination of masks and eye

protection and field shields

AA) Suction catheters – sterile, single use, two each, 6, 8, 10, 12, 14

and 18F, plus three tonsil tip semi-rigid pharyngeal suction tip

catheters per vehicle; all shall have a thumb suction control port

BB) Child and infant or convertible car seats

CC) Current equipment/drug dosage sizing tape or pediatric

equipment/drug age/weight chart


18



DD) Flashlight, two per vehicle, for patient assessment

EE) Current Illinois Department of Transportation Safety Inspection

sticker in accordance with Section 13-101 of the Illinois Vehicle

Code

FF) Illinois Poison Center telephone number

GG) Department of Public Health Central Complaint Registry telephone

number posted where visible to the patient

HH) Medical Grade Oxygen

II) Ten disaster triage tags

JJ) State-approved Mass Casualty Incident (MCI) triage algorithms

(START/JumpSTART)

c) Equipment Requirements – Intermediate and Advanced Life Support Vehicles

Each ambulance used as an Intermediate Life Support vehicle or as an Advanced

Life Support vehicle shall meet the requirements in subsections (b) and (d) and

shall also comply with the equipment and supply requirements as determined by

the EMS MDMedical Director in the System in which the ambulance and its crew

participate. Drugs shall include both adult and pediatric dosages. These vehicles

shall have a current pediatric equipment/drug dosage sizing tape or pediatric

equipment/drug dosage age/weight chart.

d) Equipment Requirements – Rescue and/or Extrication

The following equipment shall be carried on the ambulance, unless the ambulance

is routinely accompanied by a rescue vehicle:

1) Wrecking bar, 24"

2) Goggles for eye safety

3) Flashlight – one per vehicle, portable, battery operated


18



4) Fire Extinguisher – two per vehicle, ABC dry chemical, minimum 5-

pound unit with quick release brackets. One mounted in driver

compartment and one in patient compartment

e) Equipment Requirements – Communications Capability

Each ambulance shall have reliable ambulance-to-hospital radio communications

capability and meet the requirements provided in Section 515.400.

f) Equipment Requirements – Epinephrine

An EMT, EMT-I, A-EMT or ParamedicA person currently licensed as an EMT-B,

EMT-I, or EMT-P who has successfully completed a Department-

approvedDepartment-approved course in the administration of epinephrine shall

be required to carry epinephrine (both adult and pediatric doses) with him or her

in the ambulance or drug box as part of the EMS PersonnelEMT medical supplies

whenever he or she is performing officialthe duties, as determined by the EMS

Systemof an emergency medical technician, within the context of the EMS System

plan. (Section 3.55(a-7) of the Act)

g) Personnel Requirements

1) Each Basic Life Support ambulance shall be staffed by a minimum of one

System authorized EMT Basic, A-EMT, EMT-I, Paramedic or

PHRNIntermediate, Paramedic or Pre-Hospital RN and one other System

authorized EMT Basic, A-EMT, EMT-I, Paramedic, PHRNIntermediate,

Paramedic, Pre Hospital RN or physician on all responses.

2) Each ambulance used as an Intermediate Life Support vehicle shall be

staffed by a minimum of one System authorized A-EMT, EMT-I,

Paramedic or PHRNIntermediate, Paramedic or Pre-Hospital RN and one

other System authorized EMT Basic, A-EMT, EMT-I, Paramedic,

PHRNIntermediate, Paramedic, Pre-Hospital RN or physician on all

responses.

3) Each ambulance used as an Advanced Life Support vehicle shall be

staffed by a minimum of one System authorized Paramedic or

PHRNParamedic or Pre-Hospital RN and one other System authorized

EMT Basic, A-EMT, EMT-I, Paramedic, PHRNIntermediate, Paramedic,

Pre-Hospital RN or physician on all responses.


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h) Alternate Rural Staffing Authorization

1) A Vehicle Service Provider that serves a rural or semi-rural population of

10,000 or fewer inhabitants and exclusively uses volunteers, or paid-on-

call personnel or a combination to provide patient care may apply for

alternate rural staffing authorization to authorize the ambulance, Non-

Transport Vehicle, Special-Use Vehicle, or Limited Operation Vehicle to

be staffed by one EMS PersonnelEMT licensed at or above the level at

which the vehicle is licensed, plus one EMRFirst Responder/Emergency

Medical Responder when two licensed EMTs, A-EMTs, EMT-Is,

Paramedics, PHRNs or physiciansEmergency Services Personnel are not

available to respond. (Section 3.852.85(b)(3) of the Act)

2) The EMS PersonnelEMT licensed at or above the level at which the

ambulance is licensed shall be the primary patient care provider in route to

the health care facility.

3) The Vehicle Service Provider shall obtain the prior written approval for

alternate rural staffing from the EMS MD. The EMS MD shall submit to

the Department a request for an amendment to the existing EMS System

plan that clearly demonstrates the need for alternate rural staffing in

accordance with subsection (h)(4) and that the alternate rural staffing will

not reduce the quality of medical care established by the Act and this Part.

4) A Vehicle Service Provider requesting alternate rural staffing

authorization shall clearly demonstrate all of the following:

A) That it has undertaken extensive efforts to recruit and educatetrain

licensed EMTs, A-EMTs, EMT-Is, Paramedics, or PHRNsEMS

Personnel;

B) That, despite its exhaustive efforts, licensed EMTs, A-EMTs,

EMT-Is, Paramedics or PHRNsEMS Personnel are not available;

and

C) That, without alternate rural staffing authorization, the rural or

semi-rural population of 10,000 or fewer inhabitants served will be

unable to meet staffing requirements as specified in subsection (g).


18



5) The alternate rural staffing authorization and subsequent authorizations

shall include beginning and termination dates not to exceed 48 months.

The EMS MD shall re-evaluate subsequent requests for authorization for

compliance with subsections (h)(4)(A) through (C). Subsequent requests

for authorization shall be submitted to the Department for approval in

accordance with this Section.

6) Alternate rural staffing authorization may be suspended or revoked, after

an opportunity for hearing, if the Department determines that a violation

of this Part has occurred. Alternate rural staffing authorization may be

summarily suspended by written order of the Director, served on the

Vehicle Service Provider, if the Director determines that continued

operation under the alternate rural staffing authorization presents an

immediate threat to the health or safety of the public. After summary

suspension, the Vehicle Service Provider shall have the opportunity for an

expedited hearing.

7) Vehicle Service Providers that cannot meet the alternate rural staffing

authorization requirements of this Section may apply through the EMS

MD to the Department for a staffing waiver pursuant to Section 515.150.

i) Alternate Response Authorization

1) A Vehicle Service Provider that exclusively uses volunteers or paid-on-

call personnel or a combination to provide patient care who are not

required to be stationed with the vehicle may apply to the Department for

alternate response authorization to authorize the ambulance, Non-

Transport Vehicle, Special-Use Vehicle, or Limited Operation Vehicle

licensed by the Department to travel to the scene of an emergency staffed

by at least one licensed EMT, A-EMT, EMT-I, Paramedic, PHRN or

physician.Emergency Medical Responder, Emergency Medical

Technician, Advanced Emergency Medical Technician, Emergency

Medical Technician-Intermediate, Paramedic or Pre-Hospital RN

("Emergency Services Personnel").

2) A Vehicle Service Provider operating under alternate response

authorization shall ensure that a second licensed EMS Emergency

Services Personnel is on scene or in route to the emergency response

location.


18



3) The Vehicle Service Provider shall demonstrate to the Department that it

has written safeguards to ensure that no patient will be transported with

fewer than two EMTs, Paramedics or PHRNs or a physician or a

combination, at least one of whom shall be licensed at or above the level

of the license for the vehicle, unless the Vehicle Service Provider is

approved for alternate rural staffing authorization under subsection (h).

4) Alternate response authorization may be suspended or revoked, after an

opportunity for hearing, if the Department determines that a violation of

this Part has occurred. Alternate response authorization may be summarily

suspended by written order of the Director, served on the Vehicle Service

Provider, if the Director determines that continued operation under the

alternate response authorization presents an immediate threat to the health

or safety of the public. After summary suspension, the licensee shall have

the opportunity for an expedited hearing (see Section 515.180).

j) Alternate Response Authorization – Secondary Response Vehicles

1) A Vehicle Service Provider that uses volunteers or paid-on-call personnel

or a combination to provide patient care, and staffs its primary response

vehicle with personnel stationed with the vehicle, may apply for alternate

response authorization for its secondary response vehicles. The secondary

or subsequent ambulance, Non-Transport Vehicle, Special-Use Vehicle, or

Limited Operation Vehicle licensed by the Department at the BLS, ILS or

ALS level, when personnel are not stationed with the vehicle, may

respond to the scene of an emergency when the primary vehicle is on

another response. The vehicle shall be staffed by at least one System

authorized licensed EMT, A-EMT, EMT-I, PHRN or physicianEmergency

Services Personnel.

2) A Vehicle Service Provider operating under the alternate response

authorization shall ensure that a second System authorized licensed EMT,

A-EMT, EMT-I, Paramedic, PHRN or physicianEmergency Services

Personnel provider is on the scene or in route to the emergency response

location, unless the Vehicle Service Provider is approved for alternate

rural staffing authorization, in which case the second individual may be an

EMR or First Responder.


18



3) The Vehicle Service Provider shall demonstrate to the Department that it

has written safeguards to ensure that no patient will be transported without

at least with fewer than one EMT who is licensed at or above the level of

ambulance, plus at least one of the following: EMT, Paramedic, PHRN or

physiciantwo EMTs, at least one of whom shall be licensed at or above the

level of the license for the ambulance, unless the Vehicle Service Provider

is approved for alternate rural staffing authorization under subsection (h).

4) Alternate response authorization for secondary response vehicles may be

suspended or revoked, after an opportunity for hearing, if the Department

determines that a violation of this Part has occurred. Alternate response

authorization for secondary response vehicles may be summarily

suspended by written order of the Director, served on the Vehicle Service

Provider, if the Director determines that continued operation under the

alternate response authorization for secondary vehicles presents an

immediate threat to the health or safety of the public. After summary

suspension, the Vehicle Service Provider shall have the opportunity for an

expedited hearing (see Section 515.180).

k) Operational Requirements

1) An ambulance that is transporting a patient to a hospital shall be operated

in accordance with the requirements of the Act and this Part.

2) A licensee shall operate its ambulance service in compliance with this

Part, 24 hours a day, every day of the year. Except as required in this

subsection (k), each individual vehicle within the ambulance service shall

not be required to operate 24 hours a day, as long as at least one vehicle

for each level of service covered by the license is in operation at all times.

An ALS vehicle can be used to provide coverage at either an ALS, ILS or

BLS level, and the coverage shall meet the requirements of this Section.

A) At the time of application for initial or renewal licensure, and upon

annual inspection, the applicant or licensee shall submit to the

Department for approval a list containing the anticipated hours of

operation for each vehicle covered by the license.

i) A current roster shall also be submitted that lists the System

authorized EMTs, A-EMTs, EMT-Is, Paramedics, PHRNs


18



orEMS Personnel, Pre-Hospital RNs and physicians who

are employed or available to staff each vehicle during its

hours of operation. The roster shall include each staff

person's name, license number, license expiration date and

daytime telephone number, and shall state whether the

person is scheduled to be on site or on call.

ii) An actual or proposed four-week staffing schedule shall

also be submitted that, which covers all vehicles, includes

staff names from the submitted roster, and states whether

each staff member is scheduled to be on site or on call

during each work shift.

B) Licensees shall obtain the EMS MD's approval of their vehicles'

hours of operation prior to submitting an application to the

Department. An EMS MD may require specific hours of operation

for individual vehicles to assure appropriate coverage within the

System.

C) A Vehicle Service Provider that advertises its service as operating

a specific number of vehicles or more than one vehicle shall state

in the advertisement the hours of operation for those vehicles, if

individual vehicles are not available 24 hours a day. Any

advertised vehicle for which hours of operation are not stated shall

be required to operate 24 hours a day. (See Section 515.800(j).)

3) For each patient transported to a hospital, the ambulance staff shall, at a

minimum, measure and record the information required in Section

515.Appendix E.

4) A Vehicle Service Provider shall provide emergency service within the

service area on a per-need basis without regard to the patient's ability to

pay for the service.

5) A Vehicle Service Provider shall provide documentation of procedures to

be followed when a call for service is received and a vehicle is not

available, including copies of mutual aid agreements with other ambulance

providers. (See Section 515.810(h).)


18



6) A Vehicle Service Provider shall not operate its ambulance at a level

exceeding the level for which it is licensed (basic life support,

intermediate life support, advanced life support), unless the vehicle is

operated pursuant to an EMS System-approved in-field service level

upgrade or ambulance service upgrades – rural population.

7) The Department will inspect ambulances each year. If the Vehicle Service

Provider has no violations of this Section that threaten the health of safety

of patients or the public for the previous five years and has no

substantiated complaints against it, the Department will inspect the

Vehicle Service Provider's ambulances in alternate years, and the Vehicle

Service Provider may, with the Department's prior approval, self-inspect

its ambulances in the other years. The Vehicle Service Provider shall use

the Department's inspection form for self-inspection. Nothing contained

in this subsection (k)(7) shall prevent the Department from conducting

unannounced inspections.

l) A licensee may use a replacement vehicle for up to 10 days without a Department

inspection, provided that the EMS System and the Department are is notified of

the use of the vehicle by the second working day.

m) Patients, individuals who accompany a patient, and EMS Personnelemergency

services personnel may not smoke while inside an ambulance or SEMSV. The

Department of Public Health shall impose a civil penalty on an individual who

violates this subsection (m) in the amount of $100. (Section 3.155(h) of the Act)

n) Any provider may request a waiver of any requirements in this Section under the

provisions of Section 515.150.


Section 515.860 Critical Care Transport

a) Critical care transport"Critical care transport" means the pre-hospital or inter-

hospital transportation of a critically injured or ill patient by a vehicle service

provider, including the provision of medically necessary supplies and services, at

a level of service beyond the scope of the EMT-Paramedic. When medically

indicated for a patient, as determined by a physician licensed to practice

medicine in all of its branches, an advanced practice nurse, or a physician's


18



assistant, in compliance with Section 3.155(b) and (c) of the Act, critical care

transport may be provided by:

1) Department-approved critical care transport providers, not owned or

operated by a hospital, utilizing EMT-Paramedics with additional

training, nurses, or other qualified health professionals; or

2) Hospitals, when utilizing any vehicle service provider or any hospital-

owned or operated vehicle service provider. Nothing in the Act requires a

hospital to use, or to be, a Department-approved critical care transport

provider when transporting patients, including those critically injured or

ill. Nothing in the Act shall restrict or prohibit a hospital from providing,

or arranging for, the medically appropriate transport of any patient, as

determined by a physician licensed to practice medicine in all of its

branches, an Advanced Practice Nurseadvanced practice nurse, or a

physician physician's assistant. (Section 3.10(f-5) of the Act)

b) All critical care transport providers must function within a Department-approved

EMS System. Nothing in this Part shall restrict a hospital's ability to furnish

personnel, equipment, and medical supplies to any vehicle service provider,

including a critical care transport provider. (Section 3.10(g-5) of the Act)

c) For the purposes of this Section, "expanded scope of practice" includes the

accepted national curriculum plus additional training, education, experience, and

equipment (see Section 515.360) as approved by the Department pursuant to

Section 3.55 of the Act. Tier I transports are considered "expanded scope of

practice".

d) For the purposes of this Section, CCTcritical care transport plans are defined in

three tiers of care. Tier II and Tier III are considered Critical Care Transports.

e) Tier I

Tier I provides a level of care for patients who require care beyond the

Department-approved Paramedic paramedic USDOT Curriculum scope of

practice, up to but not including the requirements of Tiers II and III. Tier I

transport includes the use of a ventilator, the use of infusion pumps with

administration of medication drips, and maintenance of chest tubes.

1) Personnel Staffing and Licensure


18



A) Licensure:

i) Licensed Illinois Paramedic or Pre-Hospital Registered

Nurse (PHRN);

ii) Scope of practice more comprehensive than the national

EMS scope of practice model USDOT Curriculum, as

approved by the Department in accordance with the EMS

System planPlan (see Sections 515.310 and 515.330); and

iii) Approved to practice by the Department in accordance with

the EMS System planPlan.

B) Minimum Staffing:

i) System authorized EMT, A-EMT, EMT-I, Paramedic or

PHRNEMT-Basic, Intermediate or Paramedic/PHRN as

driver; and

ii) System authorized expanded scope of practice

Paramedic,Paramedic Expanded Scope of Practice

credentialed individual or PHRN or physician, who shall

remain with the patient at all times.

2) Education, Certification, and Experience

A) Initial Education: Documentation of initial education and

demonstrated competencies of expanded scope of practice

knowledge and skills as required by Tier I Level of Care and

approved by the Department in accordance with the EMS System

planPlan.

B) CE Continuing Education Requirements:

i) Annual competencies of expanded scope of practice

knowledge, equipment and procedures shall be completed;

and


18



ii) The EMS vehicle service provider shall maintain

documentation of competencies and provide documentation

to the EMS Resource Hospital upon request.

C) Certifications − Tier I personnel shall maintain all of the following

renewable critical care certifications and credentials in active

status:

i) Advanced Cardiac Life Support (ACLS);

ii) Pediatric Education for Pre-Hospital Professionals (PEPP)

or Pediatric Advance Life Support (PALS); and

iii) International Trauma Life Support (ITLS) or Pre-Hospital

Trauma Life Support (PHTLS); and.

iv) Any additional educational course work or certifications

required by the EMS MD.

D) Experience:

i) Minimum of one year of experience functioning in the field

at an ALS level or as a physician in an emergency

department; and

ii) Documentation of education and demonstrated

competencies of expanded scope of practice knowledge and

skills required for Tier I Level of Care, approved by the

Department and included in the EMS System planPlan.

3) Medical Equipment and Supplies

A) Ventilator; and

B) Infusion pumps.

4) Vehicle Standards

Any vehicle used for providing expanded scope of practice care shall

comply at a minimum with Section 515.830 (Ambulance Licensing


18



Requirements) or Sections 515.900 (Licensure of SEMSV Programs –

General) and 515.920 (SEMSV Program Licensure Requirements for All

Vehicles) regarding licensure of SEMSV Programsprograms and SEMSV

vehicle requirements, including additional medical equipment and

ambulance equipment as defined in this Section. Any vehicle used for

expanded scope of practice transport shall be equipped with an onboard

alternating current (AC) supply capable of operating and maintaining the

AC current needs of the required medical devices used in providing care

during the transport of a patient.

5) Treatment and Transport Protocols shall address the following:

A) EMS MD or designeeSystem Medical Director or Designee present

at established Medical Control;

B) Communication points for contacting System authorized Medical

Control and a written Expanded Scope of Practice Standard;

C) Written operating procedures and protocols signed by the EMS

MD and approved for use by the Department in accordance with

the System planPlan; and

D) Use of a ventilator, infusion pumps with administration of

medication drips, and maintenance of chest tubes.

6) Quality Assurance Program

A) The Tier I transport provider shall develop a written Quality

Assurance (QA) planPlan approved by the EMS System and the

Department in accordance with subsection (e)(6)(D). The provider

shall provide quarterly QA reports to the assigned EMS Resource

Hospitals for the first 12 months of operation.

B) The EMS System shall establish the frequency of quality reports

after the first year if the System has not identified any deficiencies

or adverse outcomes.

C) An EMS MD or a SEMSVA Medical Director shall oversee the

QA programProgram.


18



D) The QA planPlan shall evaluate all expanded scope of practice

activity for medical appropriateness and thoroughness of

documentation. The review shall include:

i) Review of transferring physician orders and evidence of

compliance with those orders;

ii) Documentation of vital signs and frequency and evidence

that abnormal vital signs or trends suggesting an unstable

patient were appropriately detected and managed;

iii) Documentation of any side effects/complications, including

hypotension, extreme bradycardia or tachycardia,

increasing chest pain, dysrhythmia, altered mental status

and/or changes in neurological examination, and evidence

that interventions were appropriate for those events;

iv) Documentation of any unanticipated discontinuation of a

catheter or rate adjustments of infusions, along with

rationale and outcome;

v) Review of any Medical Control contact for further

direction;

vi) Documentation that any unusual occurrences were

promptly communicated to the EMS System; and

vii) A root cause analysis of any event or care inconsistent with

standards. The EMS System educator shall assess and carry

out a corrective action plan.

E) The QA plan shallPlan will be subject to review as part of an EMS

System site survey and as deemed necessary by the Department

(e.g., in response to a complaint).

f) Tier II

Tier II provides a level of care for patients who require care beyond the

Department-approved national EMS scope of practice model USDOT Curriculum


18



and expanded scope of practice ALS (Paramedicparamedic) transport program,

and who require formal advanced education for ALS Paramedicparamedic staff.

Tier II transport includes the use of a ventilator, infusion pumps with

administration of medication drips, maintenance of chest tubes, and other

equipment and treatment, such as, but not limited to: arterial lines; accessing

central lines; medication-assisted intubation; patient assessment and titration of

IV pump medications, including additional active interventions necessary in

providing care to the patient receiving treatment with advanced equipment and

medications.

1) Personnel Staffing and Licensure

A) Licensure − Licensed Illinois Paramedic or PHRN:

i) Expanded scope of practice more comprehensive than the

national EMS scope of practice model and Tier I Level as

approved by the DepartmentUSDOT Curriculum and

expanded scope Tier I level; and

ii) Approved to practice by the EMS System and the

Department in accordance with the EMS System planPlan.

B) Minimum Staffing:

i) System authorized Paramedic or PHRNParamedic/PHRN;

and

ii) System authorized Paramedic, or PHRN or physician who

is critical care prepared, and who shall remain with the

patient at all times.

2) Education, Certification and Experience

A) Initial Advanced Formal Education:

i) At a minimum, 80 didactic hours of established higher

collegiate education or equivalent critical care education

based on nationally recognizedexisting university program

models; and


18



ii) Demonstrated competencies, as documented by the EMS

MD or SEMSV MD and approved by the

DepartmentSystem.

B) CE Continuing Education Requirements:

i) The EMS System shall document and maintain annual

competencies of expanded scope of practice knowledge,

equipment and procedures;

ii) The following current credentials, as a minimum, shall be

maintained: ACLS, PEPP or PALS, ITLS or PHTLS;

iii) A minimum of 40Twelve hours of critical care level

education shall be completed every four yearsannually;

iv) The EMS provider shall maintain documentation of

compliance with subsections (f)(2)(B)(i) through (iii) and

shall provide documentation to the EMS Resource Hospital

upon request; and

v) Nationally recognized criticalCritical care

certificationscertification (from formal education) shall be

maintained and renewed based on national recertification

criteria.when criteria are available for renewal status of

certification.

C) Certifications − Tier II personnel shall maintain the following

renewable critical care certifications and credentials in active

status:

i) ACLS;

ii) PEPP or PALS; and

iii) ITLS or PHTLS.


18



CD) Experience − Minimum of two years experience functioning in the

field at an ALS level for Paramedics and PHRNsparamedic or

PHRN and one year experience in an emergency department for

physicians.


A) Ventilator; and

B) Infusion pumps.

4) Vehicle Standards

Any vehicle used for providing critical care transport shall comply at a

minimum with Section 515.830 (Ambulance Licensing Requirements) or

Sections 515.900 (Licensure of SEMSV Programs – General) and 515.920

(SEMSV Program Licensure Requirements for All Vehicles) regarding

licensure of SEMSV Programs programs and SEMSV vehicle

requirements, including additional medical equipment and ambulance

equipment as defined in this Section. Any vehicle used for CCT critical

care transport shall be equipped with an onboard AC supply capable of

operating and maintaining the AC current needs of the required medical

devices used in providing care during the transport of a patient.


A) EMS MDSystem Medical Director or designee present at

established Medical Control communication points and a written

Expanded Scope of Practice Standard Operating Procedure signed

by the EMS MD and approved for use by the Department in

accordance with the System planPlan;

B) The use of a ventilator, infusion pumps with administration of

medication drips, maintenance of chest tubes, and other equipment

and treatment, such as, but not limited to: arterial lines, accessing

central lines, and medication-assisted intubation; and

C) Patient assessment and titration of IV pump medications, including

additional active interventions necessary in providing care to the


18



patient receiving treatment with advanced equipment and

medications.


A) The Tier II transport provider shall develop a written QA plan Plan

approved by the EMS System and the Department in accordance

with subsection (f)(6)(D). The participating provider shall provide

quarterly reports to the assigned EMS Resource Hospitals for the

first 12 months of operation.




C) An EMS MD or SEMSV MDA Medical Director shall oversee the

QA programProgram.






ii) Documentation of vital signs and frequency, and evidence



iii) Documentation of any side effects or /complications,

including, but not limited to, hypotension, extreme

bradycardia or tachycardia, increasing chest pain,

dysrhythmia, altered mental status and/or changes in

neurological examination, and evidence that interventions

were appropriate for those events;





18



v) Review of any Medical Control contact for further

direction;

vi) Documentation that unusual occurrences were promptly

communicated to the EMS System; and

vii) A root cause analysis shall be completed forof any event or

care inconsistent with standards. The EMS MD or the

SEMSV MD shall recommend and implementSystem

educator shall assess and carry out a corrective action plan.

E) The QA planPlan shall be subject to review as part of an EMS



g) Tier III

Tier III provides the highest level of ground transport care for patients who

require nursing level treatment modalities and interventions.

1) Minimum Personnel Staffing and Licensure

A) EMT, A-EMT, EMT-I or ParamedicEMT-B/I/P (as driver); and

B) Two critical care prepared providers, who shall remain with the

patient at all times:

i) Paramedic or PHRN; and

ii) RN or PHRN.

2) Education, Certification, and Experience: Paramedic or PHRN

A) Initial Advanced Formal Education

i) Approval to practice by EMS System and the Department

in accordance with the EMS program planProgram Plan;


18



ii) At a minimum, 80 didactic hours of established higher

collegiate education or equivalent critical care education

nationally recognizedbased on existing university program

models; and

iii) Demonstrated competencies, as documented by EMS MD

and SEMSV MD and approved by the Department; and

iviii) ExpandedApproved scope of practice more comprehensive

than the national EMS scope of practice model and Tier II

level as approved by the Department.USDOT Curriculum

and expanded scope of practice of Tier II Level.

B) CE Continuing Education Requirements

i) The EMS System shall document and maintain annual

competencies of expanded scope of practice knowledge,

equipment and procedures;Current certifications shall be

maintained;

ii) The following valid credentials, at a minimum, shall be

maintained: ACLS, PEPPO or PALS, ITLS or PHTLS;12

hours of critical care level education shall be completed

annually; and

iii) A minimum of 40 hours of critical care level CE shall be

completed every four years;The EMS vehicle service

provider shall maintain documentation of compliance with

subsections (g)(2)(B)(i) and (ii) and shall provide

documentation to the EMS Resource Hospital upon request.

iv) The EMS provider shall maintain documentation of

compliance with subsection (g)(2)(B)(i) and shall provide

documentation to the EMS Resource Hospital upon

request; and

v) Nationally recognized critical certifications shall be

maintained and renewed based on national recertification

criteria.


18



C) Certifications

Tier III personnel shall maintain the following renewable critical

care certifications and credentials in active status:

i) ACLS;

ii) PEPP or PALS; and

iii) ITLS or PHTLS.

CD) Experience

i) Minimum of two years experience functioning in the field

at an ALS Level;

ii) Documented demonstrated competencies; and

iii) Completion of annual competencies of expanded scope

knowledge, equipment and procedures.

3) Education, Certification and Experience − Registered Nurse:

A) CE Continuing Education Requirements

i) A minimum of 4812 hours of critical care level education

shall be completed every four yearsannually;

ii) The EMS provider shall maintain documentation of

compliance with subsection (g)(3)(A)(i) and shall provide

documentation to the EMS Resource Hospital upon

request; and

iii) Annual competencies of expanded scope of practice

knowledge, equipment and procedures shall be completed.

B) Certifications

Tier III personnel shall maintain the following valid renewable

critical care certifications and credentials in active status:


18



i) ACLS;

ii) PALS, PEPP or ENPC;

iii) ITLS, PHTLS, TNCC or TNS; and

iv) ECRN or equivalent.

C) Advanced Certifications Preferred but not Required

i) Certified Emergency Nurse (CEN);

ii) Critical Care Registered Nurse (CCRN);

iii) Critical Care Emergency Medical Technician-Paramedic

(CCEMT-P);

iv) Certified Registered Flight Nurse (CFRN); and

v) Certified Transport Registered Nurse (CTRN).

D) Experience

i) Two years of experience with demonstrated competency in

a critical care setting; and

ii) Documented demonstrated EMT System competencies.


Tier III transport requires nursing level treatment modalities and

interventions as agreed upon by the sending physician and the accepting

physician at the receiving facility. If either physician is not available for

consult, the EMS MD or SEMSV MDprovider's Medical Director or

designee shall direct care.

5) Vehicular Standards

Any vehicle used for providing CCTcritical care transport shall comply, at

a minimum, with Section 515.830 (Ambulance Licensing Requirements)


18



or Sections 515.900 (Licensure of SEMSV Programs – General) and

515.920 (SEMSV Program Licensure Requirements for All Vehicles)

regarding licensure of SEMSV Programs programs and SEMSV vehicle

requirements, including additional medical equipment and ambulance

equipment as defined in this Section. Any vehicle used for CCTcritical

care transport shall be equipped with an onboard AC supply capable of

operating and maintaining the AC current needs of the required medical

devices used in providing care during the transport of a patient.


A) Paramedic or PHRN: EMS MDMedical Director or designee

present at established Medical Control communication points and

written Critical Care Standard Operating procedure signed by the

EMS MD and approved for use by the Department in accordance

with the System planPlan;

B) Registered Nurse: The provider's EMS MD or SEMSV Critical

Care MDMedical Director may establish standing medical orders

for nursing personnel, or the RN may be approved to accept orders

from the sending physician and/or receiving physician.


A) The Tier III transport provider shall have a written QA plan Plan

approved by the EMS System and the Department, in accordance

with subsection (g)(7)(D). The provider shall provide quarterly

reports to the assigned EMS Resource Hospitals for the first 12

months of operation.




C) An EMS MD or SEMSV MDA Medical Director shall oversee the

QA programProgram.


18








ii) Documentation of vital signs and frequency and evidence



iii) Documentation of any side effects or /complications,

including, but not limited to, hypotension, extreme

bradycardia or tachycardia, increasing chest pain,

dysrhythmia, altered mental status and/or changes in

neurological examination, and evidence that interventions

were appropriate for those events;




v) Review of any medical control contact for further direction;

vi) Prompt communication of unusual occurrences to the EMS

System;

vii) A root cause analysis shall be completed forof any event or

care inconsistent with standards. The EMS MD or the

SEMSV MDSystem educator shall recommend and

implementassess and carry out a corrective action plan.

E) The QA planPlan will be subject to review as part of an EMS



h) The Department will approve vehicle service providers for CCTcritical care

transport when the provider demonstrates compliance with an approved EMS

System's CCT program planCritical Care Transport Program Plan for Tier II or


18



Tier III transports. Only Department-approved agencies may advertise as

CCTCritical Care Transport providers.

i) The Department will suspend a vehicle service provider's approval for critical

care transport if any part of the provider's QA plan is not followed or if a situation

exists that poses a threat to the public health and safety. The Department will

provide a notice of suspension of CCTcritical care transport approval and an

opportunity for hearing. If the vehicle service provider does not respond to the

notice within 10 days after receipt, approval will be revoked.

j) The Director may summarily suspend any licensed provider's authorization to

perform CCTcritical care transports under this Part if the Director or designee

determines that continued CCTcritical care transport by the provider poses an

imminent threat to the health or safety of the public. Any order for suspension

will be in writing and effective immediately upon service of the provider or its

lawful agent. Any provider served with an order of suspension shall immediately

cease accepting all CCTcritical care transport cases and shall have the right to

request a hearing if a written request is delivered to the Department within 15

days after receipt of the order of suspension. If a timely request is delivered to the

Department, then the Department will endeavor to schedule a hearing in an

expedited manor, taking into account equity and the need for evidence and live

witnesses at the hearing. The Department is authorized to seek injunctive relief in

the circuit court if the Director's order is violated.


SUBPART G: LICENSURE OF SPECIALIZED EMERGENCY

MEDICAL SERVICES VEHICLE (SEMSV) PROGRAMS

Section 515.920 SEMSV Program Licensure Requirements for All Vehicles

a) The SEMSV Program shall be part of a Department-approved EMS System that is

located within the geographical area that the program serves.

b) The SEMSV Program shall meet and comply with all State and federal

requirements governing the specific vehicles employed in the program. (See

Section 515.930, 515.945, or 515.970.)

c) The SEMSV Program shall comply with this Part during its hours of operation.


18



The SEMSV Program shall operate 24 hours per day, every day of the year, in

accordance with weather conditions, except when the service is committed to

another medical emergency request, or is unavailable due to maintenance

requirements.

d) The SEMSV Program shall provide pre-hospital emergency services within its

service area on a per-need basis without regard to the patient's ability to pay for

the service.

e) The SEMSV Program shall be supervised and managed by a Medical Director,

who shall be a physician who has met at least the following requirements:

1) Educational experience in those areas of medicine that are commensurate

with the mission statement of the medical service (e.g., trauma, pediatric,

neonatal, obstetrics) or utilize specialty physicians as consultants when

appropriate;

2) Valid certificationTraining and experience in Advanced Cardiac Life

Support (ACLS), such as the American Heart Association's ACLS course

or equivalent education;

3) Valid certificationTraining and experience in Pediatric Advanced Life

Support (PALS), such as the American Heart Association PALS course or

PEPPASEP/American Academy of Pediatrics Advanced Pediatric Life

Support Course or equivalent education;

4) Valid certificationTraining and experience in Advanced Trauma Life

Support (ATLS), such as the American College of Surgeons' ATLS course

or equivalent education;

5) In programs using air vehicles, documentation, such as certificates or

proof of completion in course work designed to bring about:

A) Experience and knowledge in in-flight treatment modalities;

B) Experience and knowledge in altitude physiology;

C) Experience and knowledge in infection control as it relates to

airborne and intra-facility transportation; and


18



D) Experience and knowledge in stress management techniques;

6) In programs using watercraft, documentation, such as certificates of

completion in course work designed to bring about:

A) Experience and knowledge in treating persons suffering from

submersion incidentsdrowning (cold, warm, fresh and salt water);

and

B) Experience and knowledge in diving accident physiology and

treatment.

7) In programs using air vehicles, the SESMV MDMedical Director shall be

knowledgeable and involved in the establishment of flight safety and

weather-related parameters.


Section 515.930 Helicopter and Fixed-Wing Aircraft Requirements

In addition to the requirements specified in Sections 515.900 and 515.920, an SEMSV Program

using helicopters or fixed-wing aircraft shall submit a program planProgram Plan that includes

the following:

a) Documentation of the SEMSV MD'sMedical Director's credentials as required by

Section 515.920(e), and a statement signed by the MD Medical Director

containing his or her commitment to the following duties and responsibilities:

1) Supervising and managing the program;

2) Supervising and evaluating the quality of patient care provided by the

aeromedical crew;

3) Developing written treatment protocols and standard operating procedures

to be used by the aeromedical crew during flight;

4) Developing and approving a list of equipment and drugs to be available on

the SEMSV during patient transfer;


18



5) Providing periodic review, at least monthly, of patient care provided by

the aeromedical crew;

6) Providing for the CE continuing education of the aeromedical team (see

Section 515.940(a)(2));

7) Providing medical advice and expertise on the use, need and special

requirements of aeromedical transfer;

8) Submitting documentation assuring the qualifications of the aeromedical

crew;

9) Notifying the Department when the primary SEMSV is unavailable in

excess of 24 hours, stating the reason for unavailability, the expected date

of return to service, and the provisions made, if any, for replacement

vehicles;

10) Assuring appropriate staffing of the SEMSV, with a minimum of one

EMS pilot and one aeromedical crew member for BLS Basic Life Support

missions. There shall be two aeromedical crew members for

ALSAdvanced Life Support and CCTcritical care transports, one of which

must be an RN a registered nurse or physician with completion of

educationtraining required by Section 515.940. Two EMS pilots shall be

used for fixed-wing aircraft or helicopters when required by the Federal

Aviation Administration (FAA) requiring that staffing. Additional

aeromedical personnel may be required at the discretion of the SEMSV

MDMedical Director. The SEMSV MDMedical Director shall provide the

Department with a list of all approved pilots and aeromedical crew

members, and shall update the list whenever a change in those personnel is

made;

b) The SEMSV MD'sMedical Director's list of required medical equipment and

drugs for use on the aircraft (see Section 515.950);

c) The SEMSV MD'sMedical Director's treatment protocols and standard operating

procedures;

d) The curriculum and requirements for orientation and educationtraining (see


18



Section 515.940(a)(2), (3) and (4)), including mandatory CE continuing education

for all aeromedical crew members consisting of at least 16 hours in specialized

aeromedical transportation topics, eight hours of which may include quality

assurance reviews; operational safety standards; and weather related parameters;

e) A description of the communications system accessing the aeromedical dispatch

center, the medical control point, receiving and referring agencies (see Section

515.960 of this Part);

f) A description and map of the service area for each vehicle;

g) A description of the EMS System's method of providing emergency medical

services using the SEMSV Program; and

h) The identification number and description of all vehicles used in the program.


Section 515.935 EMS Pilot Specifications

a) Approval for EMS System participation for a pilot shall be valid for a period of

one year and may be renewed by the SEMSV MDMedical Director if the pilot has

completed renewal educationtraining, which shall include, but is not limited to,

the requirements of subsections (b)(1) and (5)(A) through (H) or subsections

(c)(1) and (3)(A) through (F) of this Section.

1) For helicopter programs only:

A) Four EMS pilots per helicopter, excluding relief support, shall be

dedicated to the SEMSV Program. Temporary staffing by three

full-time pilots is permitted for no more than six months while

finding and educatingtraining a replacement pilot.

B) An EMS pilot assigned to SEMSV duty shall be physically present

at the aircraft base to assure timely response.

C) An EMS pilot assigned to SEMSV duty shall be provided with

work space to carry out assigned duties. If duty time exceeds 12

continuous hours, separate sleeping quarters shall be provided to


18



assure physical rest.

2) For fixed-wing programs only: One EMS pilot per aircraft who will

respond within one-half hour from the receipt of the request.

b) Each EMS pilot assigned to a helicopter shall be approved for participation in an

EMS System by the EMS MDMedical Director and shall meet the following

requirements:

1) Compliance with subparts E and F of Air Taxi Operations and

Commercial Operators (14 CFR 135).

2) A minimum of 2000 flight hours with a minimum of 1500 rotorcraft flight

hours and the following stipulations:

A) Factory school or equivalent (ground and flight);

B) A minimum of 1000 hours as the pilot in command (PIC) in a

rotorcraft;

C) 100 flight hours at night, unaided; and

D) A minimum of 500 hours of turbine time.

3) A minimum of five hours day/night area flight orientation, of which two

hours must be at night, and, in the judgment of the SEMSV MDMedical

Director, special terrain flight orientation.

4) Instrument Flight Rules (IFR) certification by the Federal Aviation

Administration (IFR Currency is recommended).

5) Documentation of completion of educationtraining that includes, but is not

limited to, the following:

A) Judgment and decision making;

B) Local routine operating procedures, including day and night

operations;


18



C) Flight by reference to instruments, including Instrument

Meteorological Conditions (IMC) recovery;

D) Regional area weather phenomena;

E) Area terrain hazards;

F) Scene procedures;

G) EMS System and SEMSV Program communications requirements;

H) Orientation to each hospital/pre-hospital health care system

affiliated with the SEMSV Program; and

I) Crew resource management educationtraining.

c) Each pilot assigned to a fixed-wing aircraft shall be approved by the EMS

MDMedical Director for participation in an EMS System and shall meet the

following requirements:

1) Compliance with subparts E and F of Air Taxi Operations and

Commercial Operators (14 CFR 135);

2) The pilot shall have a minimum of 2000 flight hours; a minimum of 1000

flight hours as PIC in a fixed wing aircraft; 100 night flight hours and 25

hours in the specific make and model of aircraft before flying as the PIC

on patient missions; or completion of a commercially established

educationtraining program for the specific make and model air craft and

the successful completion of the check ride;

3) Provide documentation of completion of educationtraining that includes,

but is not limited to, the following:

A) Judgment and decision making;

B) Local routine operating procedures, including day and night

operations;

C) Flight by reference to instruments, including Instrument


18



Meteorological Conditions (IMC) recovery;

D) Regional area weather phenomena;

E) Area terrain hazards;

F) EMS System and SEMSV Program communications requirements;

and

G) Crew resource management educationtraining.


Section 515.940 Aeromedical Crew Member EducationTraining Requirements

a) Except as provided for by subsection (b), each aeromedical crew member

assigned to a helicopter or fixed-wing aircraft shall be approved by the SEMSV

MDMedical Director and shall meet the following requirements:

1) Be a Paramedican EMT-P, RN registered nurse or a physician.

2) Each crew member shall be current in, or obtain within six months of hire:

A) Advanced Cardiac Life Support (ACLS);

B) Pre-Hospital Trauma Life Support (PHTLS) or International

Trauma Life Support (ITLS);

C) Pediatric Advanced Life Support (PALS) or Emergency Nursing

Pediatric Course (ENPC) or Pediatric Education for Prehospital

Professionals (PEPP) Advanced;

D) Trauma Nurse Specialist (TNS), or Trauma Nurse Core

CourseCurriculum (TNCC) or Trauma Nurse Advanced Trauma

Course (TNATC);

E) Neonatal Resuscitation Program (NRP) or an equivalent as

approved by the EMS MD.


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3) Initial educationtraining program requirements for full-time and part-time

critical careCritical Care and ALS providers. Each critical careCritical

Care and ALS provider shall successfully complete a comprehensive

educationtraining program or show proof of recent experience, education

and competency/training in the categories listed in subsections (a)(3)(A)

and (B) prior to assuming independent responsibility.

A) Didactic Component − Shall be specified and appropriate for the

mission statement and scope of the medical transport service:

i) Advanced airway management;

ii) Altitude physiology/stressors of flight if involved in rotor

wing or fixed wing operations;

iii) Anatomy, physiology and assessment for adult, pediatric

and neonatal patients;

iv) Aviation − aircraft orientation/safety and in-flight

procedures/general aircraft safety, including

depressurization procedures for fixed wing (as appropriate).

Ambulance orientation/safety and procedures as

appropriate;

v) Cardiac emergencies and advanced cardiac critical care;

vi) Hemodynamic monitoring, pacemakers, automatic

implantable cardiac defibrillator (ICDAICD), intra-aortic

balloon pump, and central lines, pulmonary artery and

arterial catheters;

vii) Multiple patient incidentsDisaster and triage;

viii) EMS radio communications;

ix) Environmental emergencies;

x) Hazardous materials recognition and response (all hazards

recognition and response);


18



xi) High risk obstetric emergencies (bleeding, medical, and

trauma);

xii) Infectious disease prevention, mitigation and

treatmentInfection control;

xiii) Metabolic/endocrine emergencies;

xiv) Multi-trauma (chest, abdomen, facial);

xv) Neonatal emergencies (respiratory distress, surgical,

cardiac);

xvi) Oxygen therapy in the medical transport environment −

mechanical ventilation and respiratory physiology for adult,

pediatric and neonatal patients as appropriate to the mission

statement and scope of care of the medical transport

service;

xvii) Pediatric medical emergencies;

xviii) Pediatric trauma;

xix) Pharmacology;

xx) Quality Management − didactic education that supports the

medical transport service mission statement and scope of

care (e.g., adult, pediatric, neonatal);

xxi) Respiratory emergencies;

xxii) Scene management/rescue/extrication (rotor wing and

ground ambulance);

xxiii) Stress recognition and management;

xxiv) Survival educationtraining;


18



xxv) Record keeping;

xxvi) Thermal, chemical, inhalation, radiation and electrical

burns;

xxvii) Legal aspects; and

xxviii) Toxicology.

B) Clinical Component − clinical experiences shall include, but not be

limited to, the following (experiences shall be specific and

appropriate for the mission statement and scope of care of the

medical transport service):

i) Critical care;

ii) Emergency care;

iii) Invasive procedures or simulationsmannequin equivalent

for practicing invasive procedures;

iv) Neonatal intensive care;

v) Obstetrics − five deliveries;

vi) Pediatric critical care;

vii) Pre-hospital care, for rotor wing programs only; and

viii) Tracheal intubations − 10 performed on live patients either

in the field or in the hospital setting when in the presence of

and under the direct supervision of a licensed physician or

Certified Registered Nurse Anesthetist certified registered

nurse anesthetist (CRNA); or performed on cadavers or a

human patient simulator (HPS) while under direct

supervision; or when in the presence of and under the direct

and immediate supervision of the EMS MD or SEMSV

MD or designee.Medical Director, a Human Patient

Simulator (HPS).


18



4) CE Continuing education/staff development shall be provided and

documented for all full-time and part-time critical careCritical Care and

ALS providers. These shall be specific and appropriate for the mission

statement and scope of care of the medical transport service.

A) Didactic CE continuing education shall include:

i) Aviation − safety issues (if involved in rotor wing or fixed

wing operations);

ii) Requirements of this Part regarding ground and air

transport;

iii) Altitude physiology/stressors of flight (if involved in both

rotor wing and fixed wing operations);

iv) Critical care courses;

v) Emergency care courses;

vi) Hazardous materials recognition and response;

vii) Infection control;

viii) Stress recognition and management;

ix) Survival educationtraining; and

x) Equipment reviews consistent with program scope and

mission.

B) Clinical and laboratory CE continuing education shall include:

i) Emergency/trauma care;

ii) Critical care (adult, pediatric, neonatal);

iii) Invasive procedure labs;


18



iv) Labor and delivery;

v) Pre-hospital experience, for rotor wing programs only;

vi) Skills maintenance program documented to comply with

number of skills required in a set period of time according

to policy of the medical transport service (i.e., endotracheal

intubations, chest tubes);

vii) No fewer than five successful intubations per year are

required for each Critical Care or ALS provider. These

intubations may be on live patients, either in the field or in

the hospital setting, when in the presence of and under the

direct supervision of a licensed physician or CRNA; or

cadavers or HPS while under direct supervision; or when in

the presence of and under the direct and immediate

supervision of the EMS MD or SEMSV MDMedical

Director, a Human Patient Simulator (HPS). Success rates

for all live intubations are documented and monitored

through the quality management process; and

viii) Live, HPSmannequin or cadaver intubation experience

within the following age ranges if served by the air

medical/ground inter-facility service: birth to 28 days; 28

days to 12 months; 12 months to 2 years; 2 years to 8 years;

and 8 years and older.

5) Yearly completion of the CE continuing education requirements as

described in Section 515.930(d).

b) In addition to at least one aeromedical crew member for BLS Basic Life Support

who has met the requirements of subsection (a), and two aeromedical crew

members, one of whom must be an RNR.N. or licensed physician, for

ALSAdvanced Life Support or CCTcritical care transport missions who have met

the requirements of subsection (a), the EMS MD or SEMSV MD Medical

Director may approve and assign additional crew members to a helicopter or

fixed-wing aircraft. The additional crew members shall meet the following

requirements:


18



1) Provide documentation of completion of educationtraining that includes,

but is not limited to, the following:

A) General patient care in-flight;,

B) Aircraft emergencies;,

C) Flight safety;,

D) EMS System and SEMSV Program communications;,

E) Use of all patient care equipment, and

F) Rescue and survival techniques.

2) Yearly completion of the CE continuing education requirements as

described in Section 515.930(d).


Section 515.945 Aircraft Vehicle Specifications and Operation

a) All vehicles shall meet the requirements of subparts A, B, C, and D of Air Taxi

Operations and Commercial Operators (14 CFR 135).

b) All vehicles shall have communication equipment to permit both internal crew

and air-to-ground exchange of information between individuals and agencies,

including at least those involved in SEMSV medical control within the EMS

System, the flight operations center, air traffic control and law enforcement

agencies. Helicopters must be able to communicate with law enforcement

agencies, EMS providers, fire agencies, and referring and receiving facilities.

c) Rotor wing vehicles shall be equipped with a Medical Emergency Radio

Communications for Illinois (MERCI) radio.

d) All vehicles shall be designed to allow the loading and unloading of the patient

without rotating the patient more than 30 degrees along the longitudinal axis or 45

degrees along the lateral axis.


18



e) All vehicles shall be climate controlled to prevent temperature extremes that

would adversely affect patient care in the judgment of the EMS MD or SEMSV

MDMedical Director.

f) All vehicles shall have interior lighting to permit patient care to be given and

patient status to be monitored without interfering with the pilot's vision.

g) All vehicles shall carry survival equipment including but not limited to:

1) Two sources of heat or fire;,

2) Two forms of signaling device;,

3) Equipment to provide shelter: blanket, nylon cord and adhesive tape;,

4) Knife;, and

5) Food and water supply.

h) All patients shall be restrained to the helicopter or fixed-wing aircraft litter to

assure the safety of the patient and crew.

i) For helicopter programs:

1) Each rotorcraft shall be powered by at least one turbine engine. There

shall be at least one dedicated turbine powered rotorcraft.

2) Each vehicle shall be staffed with at least one EMS pilot and at least one

aeromedical crew member for BLSBasic Life Support missions. There

shall be two aeromedical crew members for ALS Advanced Life Support

and CCTcritical care transports, one of whom shall be an RNR.N. or

licensed physician.

3) Each vehicle shall be equipped with flight reference instruments to allow

recovery from inadvertent Instrument Flight Rules (IFR) situations.

4) Each vehicle shall be equipped with a searchlight pivoting at least 180

degrees horizontal and 90 degrees vertical, controlled by the pilot without


18



removing hands from the flight controls. The searchlight shall be at least

400,000 candlepower, mounted and operated in accordance with

requirements of the Federal Aviation Administration (14 CFR 135).

5) The cockpit shall be isolated by a protective barrier to minimize in-flight

distraction or interference.

6) All medical equipment, supplies and personnel shall be secured or

restrained.

7) All equipment, litters/stretchers and seating shall be arranged so as not to

block rapid egress by personnel or patient from the aircraft and shall be

affixed or secured in racks or compartments approved by the Federal

Aviation Administration (14 CFR 135) or by straps.

j) For fixed-wing aircraft programs:

1) All single engine fixed-wing aircraft shall be powered by a turbine engine.

There shall be at least one dedicated fixed-wing aircraft.

2) Each vehicle shall be staffed with at least one EMS pilot and at least one

aeromedical crew member for BLSBasic Life Support missions. There

shall be two aeromedical crew members for ALS Advanced Life Support

and CCTcritical care transports.

3) The aircraft shall be IFR equipped and certified.

4) All equipment, litters/stretchers and seating shall be arranged so as not to

block rapid egress by personnel or patient from the aircraft and shall be

affixed or secured in approved racks or compartments or by strap restraint.


Section 515.950 Aircraft Medical Equipment and Drugs

a) Each helicopter or fixed-wing aircraft shall be equipped with medical equipment

and drugs that are appropriate for the various types of missions to which it will be

responding, as specified by the SEMSV MDMedical Director.


18



b) The SEMSV MDMedical Director shall submit for approval to the Department a

list of medical equipment and drugs to be taken on any particular mission based

on patient type (adult, child, infant), medical condition (high risk infant, cardiac,

burn, etc.) and anticipated treatment needs en route. This shall include, but not be

limited to:

1) Cardiac monitor with extra battery;

2) Defibrillator that is adjustable for all age groups;

3) External pacemaker;

4) Advanced airway equipment, including, but not limited to, laryngoscope

and tracheal intubation supplies for all age ranges;

5) Mechanical ventilator available;

6) Two suction sources; one must be portable;

7) Pulse oximeter; central and peripheral sensors, adult and pediatric;

8) End tidal CO2 − quantitative wave form capnography electronic or

chemical;

9) Automatic blood pressure monitor;

10) Doppler with dual capacity to obtain fetal heart tones as well as systolic

blood pressure;

11) Invasive pressure monitor;

12) Intravenous pumps with adjustable rates for appropriate age groups;

13) Two sources of oxygen; one must be portable;

14) A stretcher that is large enough to carry the 95th percentile adult, full

length in supine position, and that is rigid enough to support effective

cardiopulmonary resuscitation and has the capability of raising the head

30°;


18



15) Electrical power source provided by an inverter or appropriate power

source of sufficient output to meet the requirements of the complete

specialized equipment package without compromising the operation of

any electrical aircraft equipment;

16) If the patient weighs less than 60 lbs. (27 kg.), an appropriate (for height

and weight) restraint device shall be used, which shall be secured by a

devise approved by the Federal Aviation Administration (14 CFR 135);

17) An isolette if the service mission profile includes neonate transports; and

18) Opioid antagonist, including, but not limited to, Naloxone, with

administration equipment appropriate for the licensed level of care of the

SEMSV.

c) The Department's approval shall be based on, but not limited to:

1) Length of time of the mission;

2) Possible environmental or weather hazards;

3) Number of individuals served; and

4) Medical condition of individuals served.


Section 515.955 Vehicle Maintenance for Helicopter and Fixed-wing Aircraft Programs

a) For helicopter programs:

1) The maintenance program shall meet the requirements of subpart J of Air

Taxi Operations and Commercial Operators (14 CFR 135).

2) One certified airframe and power plant (A & P) mechanic with two years

experience for each helicopter shall be available and dedicated to the

program 24 hours per day.


18



3) Mechanics shall have completed factory-approved educationtraining for

the makes and models of aircraft used in the SEMSV Program.

4) Back-up maintenance support shall be available when the primary

mechanic is unavailable or during times of extensive maintenance needs.

5) Hangar facilities shall be available for major maintenance activities, as

specified in manufacturer's requirements. These facilities need not be

located at the base of operations.

6) Progressive maintenance on aircraft used by the SEMSV Program is

recommended, including routine daily inspections, as required by the

aircraft manufacturer.

b) For fixed-wing aircraft programs:

1) The maintenance program shall meet the requirements of subpart J of Air

Taxi Operations and Commercial Operators (14 CFR 135).

2) Mechanics shall be certified A & P with two years experience, and shall

have completed educationtraining for the make and model of aircraft used

by the SEMSV Program.

3) Hangar facilities shall be available for major maintenance activities as

specified in manufacturer's requirements.

4) Progressive maintenance on aircraft used by the SEMSV Program is

recommended, including routine daily inspections, as required by the

aircraft manufacturer.


Section 515.960 Aircraft Communications and Dispatch Center

a) The SEMSV Program shall have a designated person assigned and available 24

hours per day every day of the year to receive and dispatch all requests for

aeromedical services. For fixed-wing aircraft programs, a telephone answering

service may be used.


18



b) EducationTraining of the designated person shall be commensurate with the scope

of responsibility of the communications center and pertinent to the air medical

service, including:

1) Knowledge of EMS roles and responsibilities of the various levels of

educationtraining;

2) Knowledge of Federal Aviation Administration and Federal

Communications Commission regulations;

3) General safety rules, emergency procedures and flight following

procedures;

4) Navigation techniques/terminology and understanding weather

interpretation;

5) Types of radio frequency bands used;

6) Stress recognition and management;

7) Medical terminology and obtaining patient information;

8) Assistance with all hazardshazardous materials response and recognition

procedure using appropriate reference materials; and

9) Crew resource managementResource Management.

c) The dispatch center shall have at least one dedicated telephone number for the

SEMSV Program.

d) A pre-arranged emergency plan shall be in place to cover situations in which an

aircraft is overdue, radio communication cannot be established, or an aircraft

location cannot be verified.

e) A back-up power source shall be available for all communications equipment

used at the SEMSV medical control point.

f) The dispatch center shall have a system for recording all incoming and outgoing

telephone and radio transmissions with time recording and playback capabilities.


18



Recordings shall be kept for 30 days.

g) In addition, for helicopter programs:

1) The dispatch center shall have the capability to communicate with the

aircraft pilot and aeromedical crew for nonmedical purposes on a separate

designated frequency.

2) Continuous flight following every 15 minutes shall be maintained and

documented.


Section 515.963 Flight Program Safety Standards

For rotor-wing and fixed-wing programs:

a) Flight crews shall wear the following protective clothing:

1) Reflective material or striping on uniforms during night operations;

2) Flame-retardant clothing;

3) Flight helmets for all rotorcraft crews, including specialty teams; and

4) Boots or sturdy footwear for on-scene operations.

b) Safety and Environment

1) Oxygen storage shall be 10 feet from any heat source and 20 feet from any

open flame.

2) All crews shall carry a photo ID with first and last names while on duty.

3) Family members or other passengers who accompany patients shall be

identified and listed in the communications center.

4) A policy shall address the security of the aircraft and physical

environment (i.e., hangar, fuel farm), including:


18



A) Security of the aircraft or ambulance if left unattended on a

helipad, hospital ramp or unsecured airport or parking lot;

B) EducationTraining for pilots, mechanics and medical personnel to

recognize signs of aircraft tampering; and

C) A plan to address aircraft or ambulance tampering.

c) Completion of all of the following educational components shall be documented

for each of the flight medical personnel:

1) General aircraft safety:

A) Aircraft evacuation procedures (exits and emergency release

mechanisms), including emergency shutdown − engines, radios,

fuel switches, and electrical and oxygen shutdown;

B) Aviation terminology and communication procedures, including

knowledge of emergency communications and knowledge of

emergency communications frequency;

C) In-flight and ground fire suppression procedures (use of fire

extinguishers);

D) In-flight emergency and emergency landing procedures (i.e.,

position, oxygen, securing equipment);

E) Safety in and around the aircraft, including national aviation

regulations pertinent to medical team members, landing zone

personnel when possible, patients, and lay individuals;

F) Specific capabilities, limitations and safety measures for each

aircraft used, including specific educationtraining for backup or

occasionally used aircraft;

G) Use of emergency locator transmitter (ELT); and


18



H) All ground support ambulances used for fixed wing operations

shall meet minimal State ambulance licensing requirements located

in Section 515.830.

2) Ground operations rotor wing (RW)

A) Landing site policies consistent with Federal Aviation

Administration Helicopter Emergency Medical Services (HEMS)

requirements;

B) Patient loading and unloading – policy for rapid loading/unloading

procedures;

C) Refueling policy for normal and emergency situations;

D) Hazardous materials recognition, response and training policy

consistent with 2014 Aeronautical Information Manual, Chapter 10

(2014, US Department of Transportation);

E) Highway scene safety management policy that demonstrates

coordination with local emergency response personnel;

F) Survival educationtraining/techniques/equipment that are pertinent

to the environment/geographic coverage area of the medical

service based on the program risk assessment;

G) Smoke in the cockpit/cabin, firefighting in the cockpit/cabin; and

H) Emergency evacuation of crew and patients.

d) A planned and structured safety program shall be provided to public safety/law

enforcement agencies and hospital personnel who interface with the medical

service that includes:

1) Identifying, designating and preparing an appropriate landing zone (LZ).;

2) Personal safety in and around the helicopter for all ground personnel.;


18



3) Procedures for day/night operations, conducted by the medical team,

specific to the aircraft, including:

A) High and low reconnaissance;

B) Two-way communications between helicopter and ground

personnel to identify approach and departure obstacles and wind

direction;

C) Approach and departure path selection; and

D) Procedures for the pilot to ensure safety during ground operations

in an LZ with or without engines running.

4) Crash recovery procedures specific to the aircraft make and model shall

minimally include:

A) Location of fuel tanks;

B) Oxygen shut-offs in cockpit and cabin;

C) Emergency egress procedures;

D) Aircraft batteries; and

E) Emergency shut-down procedures.

5) Education regarding "helicopter shopping" shall be included.

6) Records shall be kept of initial and recurrent safety educationtraining of

pre-hospital, referring and receiving ground support personnel.

e) The program shall maintain a safety management systemSafety Management

System that is proactive in identifying risks and eliminating injuries to personnel

and patients and damage to equipment.

f) Special requirements for night operations; SEMSV rotorcraft programs shall

incorporate use of night vision goggles (NVG) and shall be compliant by

December 31, 2018:


18



1) Pilot required; and

2) Medical crewCrew recommended.


Section 515.965 Watercraft Requirements

In addition to the requirements specified in Sections 515.900 and 515.920 of this Part, an

SEMSV Program using watercraft shall submit a program plan that includes the following:

a) Documentation of the EMS MD's or SEMSV MD'sMedical Director's credentials

as required by Section 515.920(e) of this Part, and a statement signed by the EMS

MD or SEMSV MD committingMedical Director containing his or her

commitment to the following duties and responsibilities:

1) Supervising and managing of the program;

2) Supervising and evaluating the quality of patient care provided by the

watercraft crew;

3) Developing written treatment protocols and standard operating procedures

to be used by the watercraft crew during vehicle operation;

4) Developing and approving a list of equipment and drugs to be available on

the SEMSV during patient transfer;

5) Providing periodic review, at least quarterly, of patient care provided by

the watercraft crew;

6) Providing medical advice/expertise on the use, need and special

requirements of watercraft transfer;

7) Submitting documentation assuring the qualifications of the watercraft

crew;

8) Assuring appropriate staffing of the SEMSV:


18



A) Each watercraft crew member assigned to a watercraft shall be

approved by the EMS MD or SEMSV MDMedical Director, who

shall provide the Department with a list of all approved crew

members and watercraft operators and update the list whenever a

change in such personnel is made.

B) For Advanced Life Support (ALS) operations, the watercraft shall

be staffed by a crew of at least one ParamedicEMT-P, RN

registered nurse or physician, and one other EMT, A-EMT, EMT-

I, Paramedic, RN registered nurse or physician, in addition to the

watercraft operator.

C) For Basic Life Support (BLS) operations, the watercraft shall be

staffed by a crew of at least two of the following: EMT, A-EMT,

EMT-I, ParamedicEMTs, RN registered nurses or

physicianphysicians, one of whom may also be the watercraft

operator.

D) Except as provided for by subsection (a)(8)(E) of this Section, each

watercraft crew member shall document, appropriate to their scope

of practice, the completion of educationtraining that includes, but

is not limited, to the following:

i) Advanced life support;,

ii) Cardiac support;,

iii) Traumatic emergencies;,

iv) Pediatric emergencies;,

v) Psychiatric emergencies;,

vi) Crisis intervention;,

vii) Infection control;,

viii) Advanced surgical and airway management techniques;,


18



ix) Environmental emergencies;,

x) Radio or other EMS communications;,

xi) Rescue and survival techniques;,

xii) Record keeping;,

xiii) Legal aspects;,

xiv) Certification in Advanced Life Saving by the American

Red Cross;, and

xv) Completion of a boat safety course conducted pursuant to

Section 5-18 of the Boat Registration and Safety Act [625

ILCS 45].

E) In addition to at least two watercraft crew members who have met

the requirements of subsections (a)(8)(B) through (D) of this

Section, the EMS MD or SEMSV MDMedical Director may

approve and assign additional watercraft crew members to a

watercraft. Such additional watercraft crew members shall

document the completion of training that includes but is not limited

to the following:

i) General patient care;,

ii) Watercraft emergencies;,

iii) Completion of a boat safety course conducted pursuant to

Section 5-18 of the Boat Registration and Safety Act;,

iv) EMS System and SEMSV Program communications;,

v) Use of all patient care equipment;,

vi) Rescue and survival techniques;, and

vii) Certification in Advanced Life Saving by the American


18



Red Cross.

F) Watercraft operators shall be at least 21 years of age and shall meet

the following requirements:

i) Certification in Advanced Life Saving by the American

Red Cross;, and

ii) Completion of a boat safety course conducted pursuant to

Section 5-18 of the Boat Registration and Safety Act;

b) The EMS MD's or the SEMSV MD'sMedical Director's list of required medical

equipment and drugs for use on the watercraft (see Section 515.975);

c) The EMS MD's or the SEMSV MD'sMedical Director's standing orders

(treatment protocols, standard operating procedures);

d) A description of the communications system linking the watercraft with the

SEMSV medical control point;

e) A description of the EMS System's method of providing emergency medical

services using the SEMSV Program;

f) A description and map of the service area for each vehicle; and

g) The identification number and description of all vehicles used in the program.


Section 515.970 Watercraft Vehicle Specifications and Operation

a) All watercraft shall meet the requirements of Article IV of the Boat Registration

and Safety Act.

b) All watercraft shall carry equipment including but not limited to the following:

1) One anchor with line attached that is three times the maximum depth of

water in the areas of usual operation;,


18



2) Two docking fenders;,

3) Two mooring lines;,

4) Self or mechanical bailer;,

5) Search light with a minimum of 200,000 candle power;,

6) Swim harness attached to 75 feet of tethering line;,

7) Waterproof flashlight capable of operating for more than two hours;, six

volt minimum,

8) Basic tool kit, to include at least:

A) Wrench, 12 inch with adjustable open end;,

B) Screw driver, 12 inch with straight blade;,

C) Locking pliers, minimum length, 10 inches;,

9) One life jacket for each member of the watercraft crew and two extra adult

life jackets (Type I, II or III);,

10) Two child life jackets (Type I or II);,

11) Any watercraft 16 feet or more in length, except a canoe or kayak, shall

have a least one Type IV (throwable) U.S. Coast Guard approved personal

floatation device (PFD) or its equivalent on board, in addition to the PFDs

required in subsections (b)(9) and (10);

1211) Knife, 6-inch blade, with sheath;,

1312) Boat hook, extendable to at least 10 feet;,

1413) A locking mechanism to secure a stretcher or litter below the gunwale

level;,

15) Lanyard or engine cut-off device;


18



16) Lights (operational between the hours of sunset and sunrise);

17) Mufflers;

18) Whistle or electric or air powered horn;

19) Fire extinguisher;

20) Carburetor arrestors (except for outboard motors);

21) Ventilators (except for open boats);

22) Battery covers to prevent accidental shorting;

2314) For watercraft operating on Lake Michigan:

A) A VHF/FMUHF/FM marine radio with at least 25 watts of power;,

B) Loran Navigational Aid,

BC) Navigational charts for service area and navigational aids,

including compass or Global Positioning System (GPS);, and

CD) Speed capability of 20 knots per hour;.

D) Visual distress signal; and

E) Sealing of marine heads.

c) All watercraft shall have communication equipment to assure exchange of

information between individuals and agencies, including at least those involved at

the SEMSV medical control point within the EMS System, and law enforcement

agencies.


Section 515.975 Watercraft Medical Equipment and Drugs


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a) Each watercraft shall be equipped with medical equipment and drugs that are

appropriate for the various types of missions to which it will be responding, as

specified by the EMS MD or the SEMSV MDMedical Director.

b) Opioid antagonist, including, but not limited to, Naloxone, appropriate for the

licensed level of care of the SEMSV.

c) For ALS operations, the EMD MD or the SEMSV MDMedical Director shall

submit for approval a list of supplies available for each mission used. The EMS

MD or the SEMSV MDMedical Director shall decide on the medical equipment

and drugs taken on any particular mission based on patient type (adult, child,

infant), medical condition (high risk infant, cardiac, burn, etc.) and anticipated

treatment needs en route.

d) The Department's approval shall be based on, but not limited to:

1) length of time of the mission;

2) possible environmental or weather hazards;

3) number of individuals served; and

4) medical condition of individuals served.


Section 515.980 Watercraft Communications and Dispatch Center

a) The SEMSV Program shall have a designated dispatch center assigned and

available 24 hours per day every day of the year to receive and dispatch all

requests for watercraft services.

b) The communications and dispatch center shall have the ability to communicate

with the watercraft for nonmedicalnon-medical purposes through approved

telecommunications or on a separate designated radio frequency.


Section 515.985 Off-Road SEMSV Requirements


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In addition to the requirements specified in Sections 515.900 and 515.920 of this Part, an

SEMSV Program utilizing off-road SEMSVSEMS vehicles shall submit a program planProgram

Plan that includes the following:

a) Documentation of the EMS MD's or the SEMSV MD's Medical Director's

credentials as required by Section 515.920(e) of this Part, and a statement signed

by the EMS MD or the SEMSV MDMedical Director containing his or her

commitment to the following duties and responsibilities:

1) The supervision and management of the program;

2) Supervising and evaluating the quality of patient care provided by the off-

road SEMSV crew;

3) Providing medical advice and /expertise on the use, need and special

requirements of off-road SEMSV transfer;

4) Submitting documentation assuring the qualifications of the off-road

SEMSV crew; and

5) Assuring appropriate staffing of the off-road SEMS vehicle:

A) For Advanced Life Support (ALS) operations, the vehicle shall be

staffed by a minimum of one ParamedicEMT-P, RN registered

nurse or physician and one other EMT, A-EMT, EMT-I,

Paramedic, RNregistered nurse or physician, one of whom may

also be the driver of the off-road SEMSVSEMS vehicle; and

B) For Basic Life Support (BLS) operations, the vehicle shall be

staffed by a minimum of two of the following: EMTs, A-EMTs,

EMT-Is, ParamedicsEMTs, RNs registered nurses or physicians,

one of whom may also be the driver of the off-road SEMSVSEMS

vehicle;

b) The EMS MD's or the SEMSV MD'sMedical Director's list of required medical

equipment and drugs for use on the off-road SEMSV (see Section 515.995 of this

Part);


18



c) The EMS MD's or the SEMSV MD'sMedical Director's standing orders

(treatment protocols, standard operating procedures);

d) A description of the communications system linking the off-road SEMSV with

the SEMSV medical control point;

e) A description and map of the service area for each vehicle;

f) The identification number and description of all vehicles used in the program;

g) An agreement/contract with a licensed ground provider for transportation of

patients; and

h) A description of the EMS System's method of providing emergency medical

services using the SEMSV Program.


Section 515.990 Off-Road Vehicle Specifications and Operation

a) The off-road SEMSV shall have sufficient space for the vehicle operator, a patient

in a supine position, and personnel rendering medical care alongside the patient.

b) Each vehicle shall have a locking mechanism to secure the patient transport

litter/stretcher or backboard to the off-road SEMSV.


Section 515.995 Off-Road Medical Equipment and Drugs

a) Each off-road SEMSV shall be equipped with medical equipment and drugs for

the various types of missions to which it will be responding, as specified by the

EMS MD or the SEMSV MDMedical Director.

b) Opioid antagonist, including, but not limited to, Naloxone, appropriate for the

licensed level of care of the SEMSV.

c) For Advanced Life Support (ALS) operations, the EMS MD or the SEMSV

MDMedical Director shall submit for approval a list of supplies available for each


18



mission. The SEMSV MDMedical Director shall decide what medical equipment

and drugs are taken on any particular mission based on patient type (adult, child,

infant), medical condition (high risk infant, cardiac, burn, etc.) and anticipated

treatment needs en route.


Section 515.1000 Off-Road Communications and Dispatch Center

a) The SEMSV Program shall have a designated dispatch center assigned and

available 24 hours per day every day of the year to receive and dispatch all

requests for off-road SEMSV services.

b) The communications and dispatch center shall have the ability to communicate

with the off-road SEMSV for nonmedicalnon-medical purposes through approved

telecommunications or on a separate designated radio frequency.


SUBPART I: EMS ASSISTANCE FUND

Section 515.3000 EMS Assistance Fund Administration

a) All licensing, testing and certification fees authorized by the Act, excluding

ambulance licensure fees, within the EMS Assistance Fund shall be used by the

Department for administration, oversight, and enforcement of activities

authorized under the Act. (Section 3.220(b-5) of the Act)

b) All other moneys within the EMS Assistance Fund shall be distributed by the

Department to the EMS Regions for disbursement in accordance with protocols

established in the EMS Region Plans, for the purposes of organization,

development and improvement of Emergency Medical Services Systems, including

but not limited to training of personnel and acquisition, modification and

maintenance of necessary supplies, equipment and vehicles. (Section 3.220(c) of

the Act)

c) Award of Funds

1) Any Illinois licensed and based EMS provider agency that provides EMS


18



service within the State of Illinois may apply for funds through the

Regional EMS Advisory Committee.

A) Application shall be made using a processon forms prescribed and

provided by the Department.

B) Applicants shall provide evidence of financial planning, to include

but not be limited to: equipment replacement plans, budgeting

plans, and fundraising plans.

C) Applicants shall submit a copy of their current provider license.

D) To be eligible for any grant, the EMS provider agency shall be in

compliance with pre-hospital reporting requirements (see Section

515.350).

2) Programs, services and equipment funded by the EMS Assistance Fund

shall comply with the Act, this Part and the EMS Regional Plan in which

the applicant participates.

3) The award of funds shall be based upon demonstrated need and one or

more of the following:

A) Establishment of a new EMS agency, program or service where

needed to improve emergency medical services available in an

area;

B) Expansion or improvement of an existing EMS agency, program or

service;

C) Replacement of equipment that is unserviceable or procurement of

new equipment; and

D) Establishment, expansion or improvement of EMS education and

training programs including the adult and pediatric population.

4) All purchases and educationtraining shall occur during the fiscal year in

which the grant is awarded.


18



5) The grant cycle runs from July 1 through June 30 of each year.

6) Grant recipients shall complete and return documentation as prescribed by

the Department (e.g., grant application, Reimbursement Certification

Form or Internal Revenue Service W-9 Form).

7) Grantees receiving grant funds are required to permit the Department, the

Auditor General, and the Attorney General to inspect and audit any books,

records or papers related to the program, project, equipment or use for

which the EMS Assistance Grant funds were provided.

8) All funds remaining at the end of the period of time in which grant funds

are available for expenditure (June 30 of the fiscal year in which the grant

was awarded) shall be returned to the State within 45 days.

9) All grants shall be subject to all requirements and limitations imposed by

Illinois law, including, without limitation, the Illinois Grant Funds

Recovery Act [30 ILCS 705].

d) Emergency Grant Awards

1) The Regional EMS Advisory Committee may recommend that the

Department issue emergency grant awards. Emergency grant awards shall

not exceed 10 percent of the total funds available in a year.

2) Applications shall be made in accordance with subsections (c)(1) and (2)

of this Section.

3) The award of funds shall be based on the demonstrated needs arising from

a natural or man-made disaster.

e) Amount of Grant Award

1) The amount of the grant award shall be based on the amount requested by

the applicant, the recommendation of the Regional EMS Advisory

Committee, the Department's review of the application, and the amount

available in the Fund for distribution. The amount awarded shall not

exceed the amount requested by the applicant.


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2) The applicant shall provide adequate information to substantiate the

requested amount or any hardship claim.

f) Modification of a Grant Agreement

1) Any change in the use of grant funds from that specified in the approved

grant agreement will be permitted only by written modification of the

grant agreement. The grantee may request modification of the grant

agreement by submitting in writing to the Department the reasons and

circumstances necessitating the request.

2) The grant award shall be suspended and all disbursements of funds held in

situations including, but not limited to:

A) Failure to comply with the Act and this Part;

B) Failure to follow the EMS Region Plan in which the grantee

participates; and

C) Violation of the terms of the grant agreement.



18



Section 515.APPENDIX D Administrative, Legal and EMS Protocols and Guidelines

Standing Medical Orders

Administrative, Legal and EMS Protocols and Guidelines shall include, but not be limited to the

following:

1) Administrative and Legal:

• Patient disposition/selection of receiving facility

• Patient choice and refusal regarding treatment, transport or destination

• Patient abandonment

• Do Not Resuscitate (DNR)/Practitioner Orders for Life Sustaining Treatment

(POLST)/Advance Directives/Health Care Power of Attorney (POA) status

• When and how to notify a coroner or medical examiner

• Appropriate interaction with law enforcement on the scene

• The duty to perform all services without unlawful discrimination

• Patient confidentiality and release of information/Health Insurance Portability

and Accountability Act (HIPAA)

• Appropriate interaction with an independent physician/nurse on the scene

• Offering immediate and adequate information regarding services available to

victims of abuse, for any person suspected to be a victim of domestic abuse

• Mandated reporting policy

• Relinquished newborn

• Consent for treatment of minors

• A policy that addresses the EMS System Participant safety, disinfection of

EMS vehicles and equipment, and assessment, treatment, transport and

follow-up of patients with suspected or diagnosed infectious diseases

• Significant or high risk occupational exposure of EMS System Participants to

an infectious disease, including notification to the designated infection control

officer of the EMS provider agency following exposure

• A policy concerning the use of latex-free supplies

• Medical records documentation and reporting policy

• Incident reporting/equipment malfunction/sentinel event reporting

• Crisis response and medical surge policy/multiple patient incidents

• Professional ethical standards and behavioral expectations

• Any procedures regarding disciplinary or suspension decisions and the review


18



of those decisions that the System has elected to follow in addition to those

required by the Act

• Resource Hospital overrides (situations in which Associate Hospital orders are

overruled by the Resource Hospital)

• Protocols for ILS and ALS personnel to assess the condition of a patient being

initially treated in the field by BLS personnel, for the purpose of determining

whether a higher level of care is warranted and transfer of care of the patient

to the ILS or ALS personnel is appropriate; the protocols shall include a

requirement that neither the assessment nor the transfer of care can be initiated

if it appears to jeopardize the patient's condition, and shall require that the

activities of the System personnel be under the immediate direction of the

EMS MD or designee

• Any System policies regarding abuse of controlled substances or conviction of

a felony crime by EMS Personnel, whether on or off duty

2) EMS Standing Medical Orders/Standard Operating Guidelines/Procedures

• Cardiovascular:

○ Adult and Pediatric Syncope and Pre-syncope

○ Chest Pain/Acute Coronary Syndrome (ACS)/ST-segment Elevation

Myocardial Infarction (STEMI)

○ Tachycardia with a Pulse

○ Bradycardia with a Pulse

○ Health Failure/Pulmonary Edema/Cardiogenic Shock

• Resuscitation:

○ Cardiac Arrest (VF/VT/Asystole/PEA)

○ Adult Post-ROSC (Return of Spontaneous Circulation) Care

○ Determination of Death/Withholding or Termination of Resuscitative

Efforts

• Respiratory:

○ Airway/Ventilatory Management

○ Acute Respiratory Conditions

○ Chronic Respiratory Conditions

• Medical:

○ Agitated or Violent Patient/Behavioral Emergency; Use of Restraints


18



○ Anaphylaxis and Allergic Reaction

○ Altered Mental Status

○ Hypoglycemia/Hyperglycemia

○ Pain Management

○ Seizures

○ Shock

○ Suspected Stroke/Transient Ischemic Attack

○ Nausea/Vomiting

○ Functional Needs/Special Needs Populations

• Pediatric Prehospital Protocols (BLS, ILS and ALS):

○ Initial Medical Care/Assessment

○ Neonatal Resuscitation

○ Pediatric AED

○ Pediatric Allergic Reaction/Anaphylaxis

○ Pediatric Altered Mental Status

○ Pediatric Apparent Life Threatening Event (ALTE)

○ Pediatric Bradycardia

○ Pediatric Burns

○ Pediatric Drowning

○ Pediatric Environmental Hyperthermia

○ Pediatric Hypothermia

○ Pediatric Nerve Agent/Organophosphate Antidote Guidelines

○ Pediatric Pulseless Arrest

○ BLS Pediatric Pulseless Arrest

○ ALS/ILS Asystole/PEA Pathway

○ ALS/ILS VF/VT Pathway

○ Pediatric Respiratory Distress

○ Pediatric Respiratory Distress with a Tracheostomy Tube

○ Pediatric Respiratory Distress with a Ventilator

○ Pediatric Respiratory Failure

○ Pediatric Seizures

○ Pediatric Shock

○ Pediatric Tachycardia

○ BLS Pediatric Tachycardia

○ ALS/ILS Narrow QRS Pathway

○ ALS/ILS Wide QRS Pathway

○ Pediatric Toxic Exposures/Ingestions

○ Pediatric Trauma (with Head Trauma Addendum)


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○ Suspected Child Abuse and Neglect

• GI/GU/Gyne:

○ Childbirth/Complicated and Uncomplicated Delivery

○ Newborn Care

○ OB Complications/All Trimesters

○ Obstetrical/Gynecological Conditions

• Trauma:

○ General Trauma Assessment/Management

○ Blast Injuries

○ Head/Facial/Neck Injury

○ Thoracic

○ Abdominal/Pelvic

○ Musculoskeletal Trauma/External Hemorrhage Management

○ Acute Spine Trauma and Selective Spine Precautions

○ Conducted Electrical Weapon (e.g., TASER)

○ Blunt, Penetrating and Perforating Injuries

• Environmental:

○ Hyperthermia/Heat Exposure

○ Hypothermia/Cold Exposure

○ Submersion Incidents

○ SCUBA Injury/Accidents

○ Altitude Illness

• Burns:

○ Electrical

○ Lightening/Lightening Strike Injury

○ Radiation Exposure

○ Thermal

○ Chemical

○ Inhalation

• Toxins:

○ Bites and Envenomation

○ Poisoning/Overdose Universal Care

○ Acetylcholinesterase Inhibitors (Carbamates, Nerve Agents,

Organophosphates) Exposure


18



○ Stimulant Poisoning/Overdose

○ Central Nervous System Depressant Poisoning/Overdose

○ Cyanide Exposure

○ Hallucinogenic

○ Beta Blocker Poisoning

○ Calcium Channel Blocker Poisoning/Overdose

○ Carbon Monoxide/Smoke Inhalation

○ Biological Agents

1. STANDING MEDICAL ORDERS/CARDIAC PROTOCOLS shall include at a

minimum:

Routine Cardiac Care

Cardiac Arrest

Cardiogenic Shock

Ventricular Fibrillation

Ventricular Tachycardia

Ventricular Ectopy

Electromechanical dissociation/pulseless electrical activity (EMD/PEA)

Paroxysmal supraventricular tachycardia (PVST)

Bradycardia

Asystole

2. STANDING MEDICAL ORDERS/TRAUMA PROTOCOLS shall include at a

minimum:

Field Triage Protocols

Shock (Hypovolemia)

Spinal Cord

Head Trauma

Load and Go Situations

Traumatic Arrest

Amputated Parts

Burns

3. STANDING MEDICAL ORDERS/PROTOCOLS FOR MEDICAL

EMERGENCIES shall include at a minimum:

Asthma


18



Anaphylactic Shock

Diabetic Emergencies

Drug Overdose

Coma, Origin Unknown

Status Epilepticus

Seizures

Heat Emergencies

Cold Emergencies

Poisoning

Radiation Injuries

Renal Protocols (care of patients with shunts and fistulas)

Near Drowning

Stroke, in accordance with Section 515.220

4. STANDARD MEDICAL ORDERS/OBSTETRIC/GYNECOLOGICAL

PROTOCOLS shall include at a minimum:

Normal Deliveries

Hemorrhage, including third trimester bleeding

Abnormal Deliveries (i.e., cord or breech presentation)

Resuscitation of the Newborn

Rape/Sexual Assault

5. STANDING MEDICAL ORDERS/PEDIATRIC PROTOCOLS shall include at a

minimum:

PEDIATRIC INITIAL ASSESSMENT/MEDICAL CARE − A foundation for all

pediatric patient interactions, this protocol shall reinforce the need for consistent,

methodical patient assessment. Commonly referred to as "routine medical care"

in adult protocols, the protocol shall reinforce the following: Importance of rapid

BLS interventions (i.e., CPR), specifically airway support; age-appropriate signs

and symptoms of pediatric respiratory distress; age-appropriate airway

interventions, including the use of "blow-by" oxygen administration; indicators of

adequate ventilation and perfusion; age-appropriate immobilization of the

pediatric trauma patient; recognition of and monitoring for imminent life threats;

unique assessment considerations and emergent care requirements of children

with special health care needs (CSHN), including those who are technologically

dependent. The protocol shall emphasize the appropriate inclusion of

parents/primary caregivers.


18



NEONATAL RESUSCITATION − Shall incorporate the specific heart rate

parameters and requisite interventions according to the American Heart

Association recommendations.

PEDIATRIC AED – Treatment shall be in accordance with the Department

approved Pediatric AED protocol and in accordance with American Heart

Association guidelines. AEDs can be used in children age one to eight years. Use

of pediatric pads and cables is preferable.

PEDIATRIC ALLERGIC REACTION/ANAPHYLAXIS − Special attention to

the differentiation between local reaction (hives), mild respiratory distress and

severe cardio-respiratory compromise.

PEDIATRIC ALTERED LEVEL OF CONSCIOUSNESS – Emphasis on the

importance of recognizing etiology, aggressive airway maintenance, glucose

monitoring and naloxone administration.

PEDIATRIC BRADYCARDIA − Treatment in accordance with the American

Heart Association recommendations.

PEDIATRIC BURNS − Special emphasis on the pediatric "rule of nines" for burn

size estimation, aggressive airway management and triage to the appropriate

facility. Differentiation shall be made between thermal injuries, chemical injuries

and electrical injuries.

PEDIATRIC ENVIRONMENTAL HYPERTHERMIA – Emphasis on

appropriate assessment, cooling techniques and fluid replacement considerations

of children presenting with environmental hyperthermia.

PEDIATRIC HYPOTHERMIA – Emphasis on the pediatric population at high

risk for hypothermia: neonates and infants. Aggressive airway management,

warming techniques and recognition of frostbite injury shall be addressed.

Interventions for associated arrhythmias in accordance with the American Heart

Association recommendations.

PEDIATRIC NEAR DROWNING – Emphasis on aggressive airway management

and the potential for associated cervical spine injury and hypothermia.


18



PEDIATRIC PULSELESS ARREST – Treatment and recognition of the

following dysrhythmias: asystole, pulseless electrical activity, ventricular

fibrillation, ventricular fibrillation or pulseless ventricular tachycardia. Treatment

modalities should be consistent with guidelines set forth by the American Heart

Association's Pediatric Advanced Life Support. Appropriateness for intraosseous

access should be included.

PEDIATRIC RESPIRATORY ARREST − Treatment shall be in accordance with

the American Heart Association Pediatric Advanced Life Support guidelines.

PEDIATRIC RESPIRATORY DISTRESS − Differentiation shall be made

between "upper airway obstruction" (i.e., croup, epiglottitis and foreign body) and

lower airway disease (i.e., asthma, bronchiolitis, pneumonia). The potential for

invasive airway interventions shall also be identified. Respiratory distress in

children with a tracheostomy tube or on a ventilator shall also be addressed.

PEDIATRIC SEIZURE − Shall include the identification of rapid blood glucose

monitoring in the field, considerations for febrile seizures and administration of

rectal benzodiazepines (specifically in children less than three years old).

PEDIATRIC SHOCK − Differentiation should be made between hypovolemic

(dehydration, hemorrhagic), cardiogenic and distributive (sepsis).

PEDIATRIC TACHYCARDIA − Interventions for both wide and narrow

complex tachycardias in accordance with the American Heart Association

guidelines.

PEDIATRIC TOXIC EXPOSURES/INGESTIONS − Accidental/ environmental

toxic exposure or ingestion events commonly encountered in the pediatric

population shall be incorporated.

PEDIATRIC TRAUMA – Emphasis on mechanism of injury, limited on-scene

time, aggressive airway maintenance and field triage to the appropriate facility

and addressing the unique needs of the head-injured child.

SUSPECTED CHILD ABUSE/NEGLECT − Special emphasis shall be on careful

documentation of physical findings, discrepancy between history of injury and

physical findings, interaction between child and parent/caregiver, and

characteristics of the environment. The pre-hospital provider's responsibility as a


18



mandated reporter and reporting suspicions to the emergency room staff shall be

discussed. Directions for responding to parent/caregiver refusal to allow transport

shall be included.

6. STANDING MEDICAL ORDERS/PROTOCOLS FOR SPECIAL SITUATIONS

shall include at a minimum:

Psychological Emergencies

Spousal Abuse

Geriatric Abuse

Child Abuse

7. STANDING MEDICAL ORDERS/PROTOCOLS FOR THE PROCEDURES

LISTED as well as any others that may be System specific:

Adult Intubation Procedure

Pediatric Intubation Procedure

Defibrillation

Transtracheal Ventilation-Cricothyrotomy

Chest Decompression

Cardioversion

Medication Administration-IV/ett

8. Standing medical orders may be organized as assessment based versus diagnostic,

such as, altered mental status, abnormal vital signs, dysrhythmias and/or blocks,

respiratory distress, chest pain.



18



Section 515.APPENDIX E Minimum Prescribed Data Elements

Submit all data elements as listed in the Illinois Department of Public Health, Division of EMS

and Highway Safety, National Emergency Medical Services Information System (NEMSIS)

Prehospital Dataset.General information including but not limited to: agency and unit number,

county, crash number (when available), date of call and incident location and type, destination

location, type of medical control, transport and non-transport information, resource hospital,

crew member identification number, incident number, patient zip code.

Response time information including: time call received, time dispatched, time enroute, arrival

time at location, patient contact time, departure time from location, arrival time at destination.

Documentation of who, other than the crew, renders assistance at the scene and the nature of the

assistance.

Patient assessment including but not limited to: initial vital signs (systolic, diastolic, pulse,

respirations), skin condition, Glasgow Coma Scale, past medical history, current illness/symptom

(chief and secondary), injury site and type, injury criteria, pupils and where the patient was

sitting in the vehicle.

Patient information including but not limited to: gender, ethnic origin, date of birth, possible

contributing factors to the injury/illness (i.e., motor vehicle, alcohol, equipment, HAZMAT,

sports, etc.), protection used by the patient (i.e., seat belt, helmet, etc.), resuscitation status,

approximate pediatric weight.

Patient treatment including but not limited to: actual treatment rendered, medications

administered, IV type, rate, site and attempts, EKG, body substance isolation, and CPR

information (arrest witnessed, defibrillation, etc.), intubations and number of attempted

intubations.



18

DEPARTMENT OF REVENUE


1) Heading of the Part: Income Tax



100.2330 Amendment

100.2360 New Section

100.2405 Amendment






100.3420 Amendment

4) Statutory Authority: 35 ILCS 5/203(a)(2)(I), 203(b)(2)(R), 203(b)(2)(Z), 203(c)(2)(W),

203(c)(2)(X), 203(e), 203(g), 203(h), 207, and 304(b)




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


9) Notice of Proposal published in the Illinois Register: 42 Ill. Reg. 8144, May 18, 2018; 42

Ill. Reg. 8387, May 25, 2018; and 42 Ill. Reg. 8737, June 1, 2018

10) Has JCAR issued a Statement of Objection to this Rulemaking? No

11) Differences between Proposal and Final Version: The differences between the proposal

and the final version are cosmetic and grammatical and changes to the manner of citing

the Internal Revenue Code.


agreements letter issued by JCAR? Yes


18




14) Are there any rulemakings pending on this Part? Yes

Section Numbers: Proposed Actions: Illinois Register Citations:

100.2850 New Section 41 Ill. Reg. 15198, December 26, 2017

100.9715 New Section 42 Ill. Reg. 9160, June 8, 2018

15) Summary and Purpose of Rulemaking: This rulemaking amends Section 100. 2330 to

address issues arising from the suspension of net loss carryforward deductions between

2010 and 2014 under IITA Section 207(d) and the special rules for computing Illinois net

losses of the residual interest holders of real estate mortgage investment companies under

IITA Section 207(e), amends Section 100.2405 and adds new Section 100.2360 to

address issues in computing and carrying forward net losses of cooperatives under IITA

Section 203(e)(2)(F), adds new Section 100.2665 to address issues in computing the base

income of reciprocal insurers under IITA Section 203(b)(2)(R) and adds new Section

100.2668 to address issues in computing the net losses of corporations receiving

dividends from controlled foreign corporations under IITA Section 203(b)(2)(Z). This

rulemaking also adds new Sections 100.2565, 100.2770 and 100.2775 to Part 100 to

provide guidance on the subtractions allowed to individuals, trusts and estates for refunds

of state taxes and recoveries of itemized deductions that are subject to federal income tax

because they are recoveries of items that were deducted in computing federal taxable

income, when those recoveries should not be taxed by Illinois because no Illinois income

tax deduction was allowed for the original payments. Finally, this rulemaking amends

Section 100.3420 to reflect the provisions of PA 97-507, which amended IITA Section

304(b)(2) to allow reinsurance companies to elect one of three methods of incorporating

reinsurance premiums into their apportionment factor computation.


Brian Stocker

Staff Attorney

Illinois Department of Revenue

Legal Services Office

101 West Jefferson


217/782-2844


18





18



TITLE 86: REVENUE

CHAPTER I: DEPARTMENT OF REVENUE

PART 100

INCOME TAX

SUBPART A: TAX IMPOSED

Section

100.2000 Introduction

100.2050 Net Income (IITA Section 202)

100.2055 Standard Exemption (IITA Section 204)

100.2060 Compassionate Use of Medical Cannabis Pilot Program Act Surcharge (IITA

Section 201(o))

SUBPART B: CREDITS

Section

100.2100 Replacement Tax Investment Credit Prior to January 1, 1994 (IITA

Section 201(e))

100.2101 Replacement Tax Investment Credit (IITA 201(e))

100.2110 Investment Credit; Enterprise Zone and River Edge Redevelopment Zone (IITA

Section 201(f))

100.2120 Jobs Tax Credit; Enterprise Zone and Foreign Trade Zone or Sub-Zone and River

Edge Redevelopment Zone (IITA Section 201(g))

100.2130 Investment Credit; High Impact Business (IITA 201(h))

100.2140 Credit Against Income Tax for Replacement Tax (IITA 201(i))

100.2150 Training Expense Credit (IITA 201(j))

100.2160 Research and Development Credit (IITA Section 201(k))

100.2163 Environmental Remediation Credit (IITA 201(l))

100.2165 Education Expense Credit (IITA 201(m))

100.2170 Tax Credits for Coal Research and Coal Utilization Equipment (IITA 206)

100.2171 Angel Investment Credit (IITA 220)

100.2175 Invest in Kids Credit (IITA 224)

100.2180 Credit for Residential Real Property Taxes (IITA 208)

100.2185 Film Production Services Credit (IITA Section 213)

100.2190 Tax Credit for Affordable Housing Donations (IITA Section 214)

100.2193 Student-Assistance Contributions Credit (IITA 218)

100.2195 Dependent Care Assistance Program Tax Credit (IITA 210)


18



100.2196 Employee Child Care Assistance Program Tax Credit (IITA Section 210.5)

100.2197 Foreign Tax Credit (IITA Section 601(b)(3))

100.2198 Economic Development for a Growing Economy Credit (IITA 211)

100.2199 Illinois Earned Income Tax Credit (IITA Section 212)

SUBPART C: NET OPERATING LOSSES OF UNITARY BUSINESS GROUPS

OCCURRING PRIOR TO DECEMBER 31, 1986

Section

100.2200 Net Operating Losses Occurring Prior to December 31, 1986, of Unitary Business

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

202) − Scope


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

202) − Definitions



202) − Current Net Operating Losses: Offsets Between Members



202) − Carrybacks and Carryforwards


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

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

Income


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

202) − Deadline for Filing Claims Based on Net Operating Losses Carried Back

From a Combined Apportionment Year

SUBPART D: ILLINOIS NET LOSS DEDUCTIONS FOR LOSSES

OCCURRING ON OR AFTER DECEMBER 31, 1986

Section

100.2300 Illinois Net Loss Deduction for Losses Occurring On or After December 31, 1986

(IITA 207)

100.2310 Computation of the Illinois Net Loss Deduction for Losses Occurring On or After

December 31, 1986 (IITA 207)

100.2320 Determination of the Amount of Illinois Net Loss for Losses Occurring On or


18



After December 31, 1986

100.2330 Illinois Net Loss Carrybacks and Net Loss Carryovers for Losses Occurring On or

After December 31, 1986 (IITA Section 207)

100.2340 Illinois Net Losses and Illinois Net Loss Deductions for Losses Occurring On or

After December 31, 1986, of Corporations that are Members of a Unitary

Business Group: Separate Unitary Versus Combined Unitary Returns

100.2350 Illinois Net Losses and Illinois Net Loss Deductions, for Losses Occurring On or

After December 31, 1986, of Corporations that are Members of a Unitary

Business Group: Changes in Membership

100.2360 Illinois Net Losses and Illinois Net Loss Deductions for Losses of Cooperatives

Occurring On or After December 31, 1986 (IITA Section 203(e)(2)(F))

SUBPART E: ADDITIONS TO AND SUBTRACTIONS FROM TAXABLE INCOME OF

INDIVIDUALS, CORPORATIONS, TRUSTS AND ESTATES AND PARTNERSHIPS

Section

100.2405 Gross Income, Adjusted Gross Income, Taxable Income and Base Income

Defined; Double Deductions Prohibited; Legislative Intention (IITA Section

203(e), (g) and (h))

100.2410 Net Operating Loss Carryovers for Individuals, and Capital Loss and Other

Carryovers for All Taxpayers (IITA Section 203)

100.2430 Addition and Subtraction Modifications for Transactions with 80-20 and

Noncombination Rule Companies

100.2435 Addition Modification for Student-Assistance Contribution Credit (IITA Sections

203(a)(2)(D-23), (b)(2)(E-16), (c)(2)(G-15), (d)(2)(D-10))

100.2450 IIT Refunds (IITA Section 203(a)(2)(H), (b)(2)(F), (c)(2)(J) and (d)(2)(F))

100.2455 Subtraction Modification: Federally Disallowed Deductions (IITA Sections

203(a)(2)(M), 203(b)(2)(I), 203(c)(2)(L) and 203(d)(2)(J))

100.2465 Claim of Right Repayments (IITA Section 203(a)(2)(P), (b)(2)(Q), (c)(2)(P) and

(d)(2)(M))

100.2470 Subtraction of Amounts Exempt from Taxation by Virtue of Illinois Law, the

Illinois or U.S. Constitutions, or by Reason of U.S. Treaties or Statutes (IITA

Sections 203(a)(2)(N), 203(b)(2)(J), 203(c)(2)(K) and 203(d)(2)(G))

100.2480 Enterprise Zone and River Edge Redevelopment Zone Dividend Subtraction

(IITA Sections 203(a)(2)(J), 203(b)(2)(K), 203(c)(2)(M) and 203(d)(2)(K))

100.2490 Foreign Trade Zone/High Impact Business Dividend Subtraction (IITA Sections

203(a)(2)(K), 203(b)(2)(L), 203(c)(2)(O), 203(d)(2)(M))

SUBPART F: BASE INCOME OF INDIVIDUALS


18



Section

100.2510 Subtraction for Contributions to Illinois Qualified Tuition Programs (Section 529

Plans) (IITA Section 203(a)(2)(Y)

100.2565 Subtraction for Recovery of Itemized Deductions (IITA Section 203(a)(2)(I))

100.2580 Medical Care Savings Accounts (IITA Sections 203(a)(2)(D-5), 203(a)(2)(S) and

203(a)(2)(T))

100.2590 Taxation of Certain Employees of Railroads, Motor Carriers, Air Carriers and

Water Carriers

SUBPART G: BASE INCOME OF CORPORATIONS

Section

100.2655 Subtraction Modification for Enterprise Zone and River Edge Redevelopment

Zone Interest (IITA Section 203(b)(2)(M))

100.2657 Subtraction Modification for High Impact Business Interest (IITA Section

203(b)(2)(M-1))

100.2665 Subtraction for Payments to an Attorney-in-Fact (IITA Section 203(b)(2)(R))

100.2668 Subtraction for Dividends from Controlled Foreign Corporations (IITA Section

203(b)(2)(Z))

SUBPART H: BASE INCOME OF TRUSTS AND ESTATES

100.2770 Subtraction for Recovery of Itemized Deductions of a Decedent (IITA Section

203(c)(2)(W))

100.2775 Subtraction for Refunds of Taxes Paid to Other States for Which a Credit Was

Claimed (IITA Section 203(c)(2)(X))

SUBPART J: GENERAL RULES OF ALLOCATION AND

APPORTIONMENT OF BASE INCOME

Section

100.3000 Terms Used in Article 3 (IITA Section 301)

100.3010 Business and Nonbusiness Income (IITA Section 301)

100.3015 Business Income Election (IITA Section 1501)

100.3020 Resident (IITA Section 301)

SUBPART K: COMPENSATION


18



Section

100.3100 Compensation (IITA Section 302)

100.3110 State (IITA Section 302)

100.3120 Allocation of Compensation Paid to Nonresidents (IITA Section 302)

SUBPART L: NON-BUSINESS INCOME OF PERSONS OTHER THAN RESIDENTS

Section

100.3200 Taxability in Other State (IITA Section 303)

100.3210 Commercial Domicile (IITA Section 303)

100.3220 Allocation of Certain Items of Nonbusiness Income by Persons Other Than

Residents (IITA Section 303)

SUBPART M: BUSINESS INCOME OF PERSONS OTHER THAN RESIDENTS

Section

100.3300 Allocation and Apportionment of Base Income (IITA Section 304)

100.3310 Business Income of Persons Other Than Residents (IITA Section 304) − In

General

100.3320 Business Income of Persons Other Than Residents (IITA Section 304) −

Apportionment (Repealed)

100.3330 Business Income of Persons Other Than Residents (IITA Section 304) −

Allocation

100.3340 Business Income of Persons Other Than Residents (IITA Section 304)

100.3350 Property Factor (IITA Section 304)

100.3360 Payroll Factor (IITA Section 304)

100.3370 Sales Factor (IITA Section 304)

100.3371 Sales Factor for Telecommunications Services

100.3373 Sales Factor for Publishing

100.3380 Special Rules (IITA Section 304)

100.3390 Petitions for Alternative Allocation or Apportionment (IITA Section 304(f))

100.3400 Apportionment of Business Income of Financial Organizations for Taxable Years

Ending Prior to December 31, 2008 (IITA Section 304(c))

100.3405 Apportionment of Business Income of Financial Organizations for Taxable Years

Ending on or after December 31, 2008 (IITA Section 304(c))

100.3420 Apportionment of Business Income of Insurance Companies (IITA Section

304(b))

100.3450 Apportionment of Business Income of Transportation Companies (IITA Section

304(d))


18



100.3500 Allocation and Apportionment of Base Income by Nonresident Partners

SUBPART N: ACCOUNTING

Section

100.4500 Carryovers of Tax Attributes (IITA Section 405)

SUBPART O: TIME AND PLACE FOR FILING RETURNS

Section

100.5000 Time for Filing Returns (IITA Section 505)

100.5010 Place for Filing Returns: All Taxpayers (IITA Section 505)

100.5020 Extensions of Time for Filing Returns: All Taxpayers (IITA Section 505)

100.5030 Taxpayer's Notification to the Department of Certain Federal Changes Arising in

Federal Consolidated Return Years, and Arising in Certain Loss Carryback Years

(IITA Section 506)

100.5040 Innocent Spouses

100.5050 Frivolous Returns

100.5060 Reportable Transactions (IITA Section 501(b))

100.5070 List of Investors in Potentially Abusive Tax Shelters and Reportable Transactions

100.5080 Registration of Tax Shelters (IITA Section 1405.5)

SUBPART P: COMPOSITE RETURNS

Section

100.5100 Composite Returns: Eligibility (IITA Section 502(f))

100.5110 Composite Returns: Responsibilities of Authorized Agent

100.5120 Composite Returns: Individual Liability

100.5130 Composite Returns: Required forms and computation of Income (IITA Section

502(f))

100.5140 Composite Returns: Estimated Payments

100.5150 Composite Returns: Tax, Penalties and Interest

100.5160 Composite Returns: Credits on Separate Returns

100.5170 Composite Returns: Definition of a "Lloyd's Plan of Operation"

100.5180 Composite Returns: Overpayments and Underpayments

SUBPART Q: COMBINED RETURNS

Section


18



100.5200 Filing of Combined Returns

100.5201 Definitions and Miscellaneous Provisions Relating to Combined Returns

100.5205 Election to File a Combined Return

100.5210 Procedures for Elective and Mandatory Filing of Combined Returns

100.5215 Filing of Separate Unitary Returns (IITA Section 304(e))

100.5220 Designated Agent for the Members

100.5230 Combined Estimated Tax Payments

100.5240 Claims for Credit of Overpayments

100.5250 Liability for Combined Tax, Penalty and Interest

100.5260 Combined Amended Returns

100.5265 Common Taxable Year

100.5270 Computation of Combined Net Income and Tax

100.5280 Combined Return Issues Related to Audits

SUBPART R: PAYMENTS

Section

100.6000 Payment on Due Date of Return (IITA Section 601)

SUBPART S: REQUIREMENT AND AMOUNT OF WITHHOLDING

Section

100.7000 Requirement of Withholding (IITA Section 701)

100.7010 Compensation Paid in this State (IITA Section 701)

100.7020 Transacting Business Within this State (IITA Section 701)

100.7030 Payments to Residents (IITA Section 701)

100.7035 Nonresident Partners, Subchapter S Corporation Shareholders, and Trust

Beneficiaries (IITA Section 709.5)

100.7040 Employer Registration (IITA Section 701)

100.7050 Computation of Amount Withheld (IITA Section 702)

100.7060 Additional Withholding (IITA Section 701)

100.7070 Voluntary Withholding (IITA Section 701)

100.7080 Correction of Underwithholding or Overwithholding (IITA Section 701)

100.7090 Reciprocal Agreement (IITA Section 701)

100.7095 Cross References

SUBPART T: AMOUNT EXEMPT FROM WITHHOLDING

Section


18



100.7100 Withholding Exemption (IITA Section 702)

100.7110 Withholding Exemption Certificate (IITA Section 702)

100.7120 Exempt Withholding Under Reciprocal Agreements (IITA Section 702)

SUBPART U: INFORMATION STATEMENT

Section

100.7200 Reports for Employee (IITA Section 703)

SUBPART V: EMPLOYER'S RETURN AND PAYMENT OF TAX WITHHELD

Section

100.7300 Returns and Payments of Income Tax Withheld from Wages (IITA Sections 704

and 704A)

100.7310 Returns Filed and Payments Made on Annual Basis (IITA Sections 704 and

704A)

100.7320 Time for Filing Returns and Making Payments for Taxes Required to Be

Withheld Prior to January 1, 2008 (IITA Section 704)

100.7325 Time for Filing Returns and Making Payments for Taxes Required to Be

Withheld On or After January 1, 2008 (IITA Section 704A)

100.7330 Payment of Tax Required to be Shown Due on a Return (IITA Sections 704 and

704A)

100.7340 Correction of Underwithholding or Overwithholding (IITA Section 704)

100.7350 Domestic Service Employment (IITA Sections 704 and 704A)

100.7360 Definitions and Special Provisions Relating to Reporting and Payment of Income

Tax Withheld (IITA Sections 704 and 704A)

100.7370 Penalty and Interest Provisions Relating to Reporting and Payment of Income Tax

Withheld (IITA Sections 704 and 704A)

100.7380 Economic Development for a Growing Economy (EDGE) and Small Business Job

Creation Credit (IITA Section 704A(g) and (h))

SUBPART W: ESTIMATED TAX PAYMENTS

Section

100.8000 Payment of Estimated Tax (IITA Section 803)

100.8010 Failure to Pay Estimated Tax (IITA Sections 804 and 806)

SUBPART X: COLLECTION AUTHORITY

Section


18



100.9000 General Income Tax Procedures (IITA Section 901)

100.9010 Collection Authority (IITA Section 901)

100.9020 Child Support Collection (IITA Section 901)

SUBPART Y: NOTICE AND DEMAND

Section

100.9100 Notice and Demand (IITA Section 902)

SUBPART Z: ASSESSMENT

Section

100.9200 Assessment (IITA Section 903)

100.9210 Waiver of Restrictions on Assessment (IITA Section 907)

SUBPART AA: DEFICIENCIES AND OVERPAYMENTS

Section

100.9300 Deficiencies and Overpayments (IITA Section 904)

100.9310 Application of Tax Payments Within Unitary Business Groups (IITA Section 603)

100.9320 Limitations on Notices of Deficiency (IITA Section 905)

100.9330 Further Notices of Deficiency Restricted (IITA Section 906)

SUBPART BB: CREDITS AND REFUNDS

Section

100.9400 Credits and Refunds (IITA Section 909)

100.9410 Limitations on Claims for Refund (IITA Section 911)

100.9420 Recovery of Erroneous Refund (IITA Section 912)

SUBPART CC: INVESTIGATIONS AND HEARINGS

Section

100.9500 Access to Books and Records (IITA Section 913)

100.9505 Access to Books and Records − 60-Day Letters (IITA Section 913) (Repealed)

100.9510 Taxpayer Representation and Practice Requirements

100.9520 Conduct of Investigations and Hearings (IITA Section 914)

100.9530 Books and Records


18



SUBPART DD: JUDICIAL REVIEW

Section

100.9600 Administrative Review Law (IITA Section 1201)

SUBPART EE: DEFINITIONS

Section

100.9700 Unitary Business Group Defined (IITA Section 1501)

100.9710 Financial Organizations (IITA Section 1501)

100.9720 Nexus

100.9730 Investment Partnerships (IITA Section 1501(a)(11.5))

100.9750 Corporation, Subchapter S Corporation, Partnership and Trust Defined (IITA

Section 1501)

SUBPART FF: LETTER RULING PROCEDURES

Section

100.9800 Letter Ruling Procedures

SUBPART GG: MISCELLANEOUS

Section

100.9900 Tax Shelter Voluntary Compliance Program

100.9910 State Tax Preparer Oversight Act [35 ILCS 35]

100.APPENDIX A Business Income Of Persons Other Than Residents

100.TABLE A Example of Unitary Business Apportionment

100.TABLE B Example of Unitary Business Apportionment for Groups Which

Include Members Using Three-Factor and Single-Factor Formulas

AUTHORITY: Implementing the Illinois Income Tax Act [35 ILCS 5] and authorized by

Section 1401 of the Illinois Income Tax Act [35 ILCS 5/1401].

SOURCE: Filed July 14, 1971, effective July 24, 1971; amended at 2 Ill. Reg. 49, p. 84,

effective November 29, 1978; amended at 5 Ill. Reg. 813, effective January 7, 1981; amended at

5 Ill. Reg. 4617, effective April 14, 1981; amended at 5 Ill. Reg. 4624, effective April 14, 1981;

amended at 5 Ill. Reg. 5537, effective May 7, 1981; amended at 5 Ill. Reg. 5705, effective May

20, 1981; amended at 5 Ill. Reg. 5883, effective May 20, 1981; amended at 5 Ill. Reg. 6843,


18



effective June 16, 1981; amended at 5 Ill. Reg. 13244, effective November 13, 1981; amended at

5 Ill. Reg. 13724, effective November 30, 1981; amended at 6 Ill. Reg. 579, effective December

29, 1981; amended at 6 Ill. Reg. 9701, effective July 26, 1982; amended at 7 Ill. Reg. 399,

effective December 28, 1982; amended at 8 Ill. Reg. 6184, effective April 24, 1984; codified at 8

Ill. Reg. 19574; amended at 9 Ill. Reg. 16986, effective October 21, 1985; amended at 9 Ill. Reg.

685, effective December 31, 1985; amended at 10 Ill. Reg. 7913, effective April 28, 1986;

amended at 10 Ill. Reg. 19512, effective November 3, 1986; amended at 10 Ill. Reg. 21941,

effective December 15, 1986; amended at 11 Ill. Reg. 831, effective December 24, 1986;

amended at 11 Ill. Reg. 2450, effective January 20, 1987; amended at 11 Ill. Reg. 12410,

effective July 8, 1987; amended at 11 Ill. Reg. 17782, effective October 16, 1987; amended at 12

Ill. Reg. 4865, effective February 25, 1988; amended at 12 Ill. Reg. 6748, effective March 25,


effective August 29, 1988; amended at 13 Ill. Reg. 8917, effective May 30, 1989; amended at 13

Ill. Reg. 10952, effective June 26, 1989; amended at 14 Ill. Reg. 4558, effective March 8, 1990;


June 7, 1990; amended at 14 Ill. Reg. 16012, effective September 17, 1990; emergency

amendment at 17 Ill. Reg. 473, effective December 22, 1992, for a maximum of 150 days;


August 9, 1993; recodified at 17 Ill. Reg. 14189; amended at 17 Ill. Reg. 19632, effective

November 1, 1993; amended at 17 Ill. Reg. 19966, effective November 9, 1993; amended at 18

Ill. Reg. 1510, effective January 13, 1994; amended at 18 Ill. Reg. 2494, effective January 28,


effective February 6, 1995; amended at 19 Ill. Reg. 5824, effective March 31, 1995; emergency

amendment at 20 Ill. Reg. 1616, effective January 9, 1996, for a maximum of 150 days; amended

at 20 Ill. Reg. 6981, effective May 7, 1996; amended at 20 Ill. Reg. 10706, effective July 29,

1996; amended at 20 Ill. Reg. 13365, effective September 27, 1996; amended at 20 Ill. Reg.

14617, effective October 29, 1996; amended at 21 Ill. Reg. 958, effective January 6, 1997;

emergency amendment at 21 Ill. Reg. 2969, effective February 24, 1997, for a maximum of 150

days; emergency expired July 24, 1997; amended at 22 Ill. Reg. 2234, effective January 9, 1998;


effective December 15, 1998; amended at 23 Ill. Reg. 3808, effective March 11, 1999; amended

at 24 Ill. Reg. 10593, effective July 7, 2000; amended at 24 Ill. Reg. 12068, effective July 26,

2000; emergency amendment at 24 Ill. Reg. 17585, effective November 17, 2000, for a

maximum of 150 days; amended at 24 Ill. Reg. 18731, effective December 11, 2000; amended at

25 Ill. Reg. 4640, effective March 15, 2001; amended at 25 Ill. Reg. 4929, effective March 23,

2001; amended at 25 Ill. Reg. 5374, effective April 2, 2001; amended at 25 Ill. Reg. 6687,

effective May 9, 2001; amended at 25 Ill. Reg. 7250, effective May 25, 2001; amended at 25 Ill.

Reg. 8333, effective June 22, 2001; amended at 26 Ill. Reg. 192, effective December 20, 2001;



18



June 20, 2002; amended at 26 Ill. Reg. 13237, effective August 23, 2002; amended at 26 Ill. Reg.

15304, effective October 9, 2002; amended at 26 Ill. Reg. 17250, effective November 18, 2002;

amended at 27 Ill. Reg. 13536, effective July 28, 2003; amended at 27 Ill. Reg. 18225, effective

November 17, 2003; emergency amendment at 27 Ill. Reg. 18464, effective November 20, 2003,

for a maximum of 150 days; emergency expired April 17, 2004; amended at 28 Ill. Reg. 1378,

effective January 12, 2004; amended at 28 Ill. Reg. 5694, effective March 17, 2004; amended at

28 Ill. Reg. 7125, effective April 29, 2004; amended at 28 Ill. Reg. 8881, effective June 11,

2004; emergency amendment at 28 Ill. Reg. 14271, effective October 18, 2004, for a maximum

of 150 days; amended at 28 Ill. Reg. 14868, effective October 26, 2004; emergency amendment

at 28 Ill. Reg. 15858, effective November 29, 2004, for a maximum of 150 days; amended at 29

Ill. Reg. 2420, effective January 28, 2005; amended at 29 Ill. Reg. 6986, effective April 26,

2005; amended at 29 Ill. Reg. 13211, effective August 15, 2005; amended at 29 Ill. Reg. 20516,

effective December 2, 2005; amended at 30 Ill. Reg. 6389, effective March 30, 2006; amended at

30 Ill. Reg. 10473, effective May 23, 2006; amended by 30 Ill. Reg. 13890, effective August 1,


16240, effective November 26, 2007; amended at 32 Ill. Reg. 872, effective January 7, 2008;


February 25, 2008; amended at 32 Ill. Reg. 6055, effective March 25, 2008; amended at 32 Ill.

Reg. 10170, effective June 30, 2008; amended at 32 Ill. Reg. 13223, effective July 24, 2008;


effective December 31, 2008; amended at 33 Ill. Reg. 2306, effective January 23, 2009; amended

at 33 Ill. Reg. 14168, effective September 28, 2009; amended at 33 Ill. Reg. 15044, effective

October 26, 2009; amended at 34 Ill. Reg. 550, effective December 22, 2009; amended at 34 Ill.

Reg. 3886, effective March 12, 2010; amended at 34 Ill. Reg. 12891, effective August 19, 2010;

amended at 35 Ill. Reg. 4223, effective February 25, 2011; amended at 35 Ill. Reg. 15092,

effective August 24, 2011; amended at 36 Ill. Reg. 2363, effective January 25, 2012; amended at

36 Ill. Reg. 9247, effective June 5, 2012; amended at 37 Ill. Reg. 5823, effective April 19, 2013;

amended at 37 Ill. Reg. 20751, effective December 13, 2013; recodified at 38 Ill. Reg. 4527;


June 19, 2014; amended at 38 Ill. Reg. 15994, effective July 9, 2014; amended at 38 Ill. Reg.

17043, effective July 23, 2014; amended at 38 Ill. Reg. 18568, effective August 20, 2014;

amended at 38 Ill. Reg. 23158, effective November 21, 2014; emergency amendment at 39 Ill.

Reg. 483, effective December 23, 2014, for a maximum of 150 days; amended at 39 Ill. Reg.

1768, effective January 7, 2015; amended at 39 Ill. Reg. 5057, effective March 17, 2015;


November 18, 2015; amended at 40 Ill. Reg. 1848, effective January 5, 2016; amended at 40 Ill.

Reg. 10925, effective July 29, 2016; amended at 40 Ill. Reg. 13432, effective September 7, 2016;


effective November 2, 2016; amended at 41 Ill. Reg. 4193, effective March 27, 2017; amended


18



at 41 Ill. Reg. 6379, effective May 22, 2017; amended at 41 Ill. Reg. 10662, effective August 3,

2017; amended at 41 Ill. Reg. 12608, effective September 21, 2017; amended at 41 Ill. Reg.

14217, effective November 7, 2017; emergency amendment at 41 Ill. Reg. 15097, effective

November 30, 2017, for a maximum of 150 days; amended at 42 Ill. Reg. 4953, effective

February 28, 2018; amended at 42 Ill. Reg. 6451, effective March 21, 2018; recodified Subpart H

to Subpart G at 42 Il. Reg. 7980; amended at 42 Ill. Reg. 17852, effective September 24, 2018.

SUBPART D: ILLINOIS NET LOSS DEDUCTIONS FOR LOSSES

OCCURRING ON OR AFTER DECEMBER 31, 1986

Section 100.2330 Illinois Net Loss Carrybacks and Net Loss Carryovers for Losses

Occurring On or After December 31, 1986 (IITA Section 207)

a) IITA Section 207(a) provides for carryover deductions of any losses that result

after applying all of the modifications provided for in Section 203(b)(2), (c)(2)

and (d)(2) and the allocation and apportionment provisions of Article 3 of the Act.

b) Years to Whichwhich Illinois Net Losses May be Carriednet losses may be

carried

1) In General.Years to which Illinois net losses may be carried. Under IITA

Section 207(a)(2), an Illinois net loss incurred in a tax year ending on or

after December 31, 1999 and prior to December 31, 2003 may be carried

back to the two preceding tax years or carried forward to the 20

succeeding tax years. Under IITA Section 207(a)(3), for any taxable year

ending on or after December 31, 2003, the loss isshall only be allowed as a

carryover to each of the 12 taxable years following the taxable year of the

loss. For tax years ending prior to December 31, 1999, IITA Section

207(a)(1) provides that a carryback or carryover deduction isshall be

allowed in the manner allowed under Internal Revenue Code section

Section 172 of the Internal Revenue Code. The federal rules concerning

the years to which a loss may be carried are contained in IRC

sectionSection 172(b) of the Code and in Treas. Reg. Sec. 1.172-4(a)(1).

These rules, as now in effect or hereafter amended, areshall be followed

for Illinois income tax purposes and shall apply to corporations,

partnerships, trusts and estates. In general, for Illinois net losses incurred

in tax years beginning prior to August 6, 1997, the net loss is firstshall be

carried back to the three preceding taxable years and then isshall be

carried over to the 15 succeeding taxable years. For Illinois net losses


18



incurred in tax years beginning on or after August 6, 1997 and ending

prior to December 31, 1999, the loss may generally is firstbe carried back

to the two preceding tax years and then is carried forward to the 20

succeeding tax years. In taxable years ending prior to December 31, 1999,

special provisions applied to regulated transportation companies, financial

institutions, product liability losses and other entities or situations, and the

provisions in IRC sectionSection 172(b) of the Internal Revenue Code and

the related Treasury Regulations relating to the years to which a loss

incurred in one of those years may be carried areshall be followed.

2) Specific Rules for Losses Incurred in Taxable Years Ending Priorrules for

losses incurred in taxable years ending prior to December 31, 1999. IITA

Section 207(a)(1) provides that, for losses incurred infor any taxable year

ending prior to December 31, 1999, thesuch loss isshall be allowed as a

carryover or carryback deduction in the manner allowed under IRC

section Section 172 of the Internal Revenue Code. Pursuant to this

provision:

A) For losses incurred in taxable years beginning prior to August 6,

1997, a loss generally is firstwould be carried back to each of the 3

taxable years preceding the taxable year in which the loss was

incurred and then to each of the 15 taxable years following the

taxable year in which the loss was incurred. (From IRC

sectionSection 172(b)(1)(A) of the Internal Revenue Code, as in

effect prior to enactment of P.L.Public Law 105-34.)

B) For losses incurred in taxable years beginning after August 5,

1997, a loss generally is firstwould be carried back to each of the 2

taxable years preceding the taxable year in which the loss was

incurred and then to each of the 20 taxable years following the

taxable year in which the loss was incurred. (From IRC

sectionSection 172(b)(1)(A) of the Internal Revenue Code, as in

effect after enactment of P.L.Public Law 105-34.)

C) Special carryover periods allowed under IRC sectionSection

172(b) of the Internal Revenue Code for specific kinds of losses or

taxpayers also apply. For example:

i) "Specified liability losses" may be carried back to each of


18



the 10 taxable years preceding the taxable year in which the

loss was incurred. (From IRC sectionSection 172(b)(1)(C)

of the Internal Revenue Code.)

ii) For losses incurred in taxable years beginning after

December 31, 1986, and ending before January 1, 1994,

bad debt losses of commercial banks may be carried back

to each of the 10 taxable years preceding the taxable year in

which the loss was incurred and to each of the 5 taxable

years following the taxable year in which the loss was

incurred. (From IRC sectionSection 172(b)(1)(D) of the

Internal Revenue Code.)

c) Election to Forgo Carryback Periodforgo carryback period

1) For losses incurred in tax years ending prior to December 31, 2003, IITA

Section 207(a-5)(A) allows the taxpayer to elect to relinquish the entire

carryback period with respect to thesuch loss. TheSuch election isshall be

made on the taxpayer's return for the taxable year in which the loss is

incurred. The election may be made only on or before and shall be made

by the due date (including extensions of time) for filing theof such return.

If an election is made, the loss ismay be carried forward and deducted only

in years subsequent to the taxable year in which the loss was incurred.

TheSuch election, once made, isshall be irrevocable. (IITA Section 207(a-

5)(A))

2) If thesuch election is made on any combined return which is filed in

accordance with IITA Section 502(e) of the Illinois Income Tax Act, the

election will be considered to be in effect for all eligible members of the

combined group filing the return for the taxable year for which thesuch

election is made.

3) If the timely return for the taxable year reflects Illinois income and:

A) a finalized federal change eliminates Illinois income thereby

creating an Illinois net loss for the year, the taxpayer may make the

election to relinquish the entire carryback period for the Illinois net

loss on an amended return or form prescribed by the Department

within the 120 day time period prescribed by IITA Section 506(b);


18



of the Illinois Income Tax Act, or

B) an Illinois audit or other Illinois change eliminates Illinois income

thereby creating an Illinois net loss for the year, the taxpayer may

make the election to relinquish the entire carryback period for the

Illinois net loss on forms prescribed by the Department at the time

the loss is first reported to Illinois.

d) Portion of Illinois Net Loss That Is a Carryback or a Carryover to the Taxable

Year in Issuenet loss which is a carryback or a carryover to the taxable year in

issue. Pursuant to IITA Section 207(a-5)(B), the entire amount of asuch loss

isshall be carried to the earliest taxable year to which thesuch loss may be

carried. The amount of thesuch loss, which isshall be carried to each of the other

taxable years, isshall be the excess, if any, of the amount of thesuch loss over the

sum of the deductions for carryback or carryover of thesuch loss allowable for

each of the prior taxable years to which thesuch loss may be carried. This is

illustrated in the following Example.

EXAMPLE: A taxpayer that makes its return on the calendar year basis has an

Illinois net loss for 1986. Under the provisions of IRC sectionSection 172(b) of

the Internal Revenue Code as in effect in that year, the entire net loss for 1986

may be carried back to 1983. The amount of the carryback to 1984 is the excess

of the 1986 loss over the net income for 1983. The amount of the carryback to

1985 is the excess of the 1986 loss over the aggregate of the net incomes for 1983

and 1984. The amount of the carryover to 1987 is the excess of the 1986 loss

over the aggregate of the net incomes for 1983, 1984, and 1985, etc.

e) Carryover of Pre-12/31/86 Losses and Post-12/30/86 Lossespre-12/31/86 loss and

post-12/30/86 loss. Net operating losses incurred prior to December 31, 1986, can

be carried over into years in which Illinois net losses (incurred on or after

December 31, 1986) are also carried. In thesesuch cases, the former losses

incurred in tax years ending prior to December 31, 1986 arewill be treated as an

adjustment to taxable income (i.e., before apportionment) while the losses

incurred in tax years ending after December 30, 1986 are subtractedlatter will be a

deduction in computing Illinois net income (i.e., after apportionment). This is

illustrated in the following Example.

EXAMPLE: Corporation A is a calendar year taxpayer. It has no partnership

income and no nonbusiness income. In 1985, it reported a federal net operating


18



loss of $1,000$1000, and on its Illinois return for 1986, it reported an Illinois net

loss of $50, neither of which could be carried back to prior years due to losses

existing in those years. In 1987, A had federal taxable income (before special

deductions) of $200, and Illinois addition modifications of $100. Corporation A

would compute its Illinois net income in 1987 as follows: The $1,000$1000 net

operating loss from 1985 would offset the $200 of 1987 federal taxable income

and would offset the $100 of 1987 Illinois addition modifications. In 1988,

Corporation A would have remaining $700 of net operating loss carryover from

1985 and $50 of Illinois net loss carryover from 1986.

f) Special Rulesrules

1) IITA Section 207(b) provides that any loss determined under subsection

(a) of this Section ismust be carried back or carried forward in the same

manner for purposes of both the regular income tax imposed by IITA

Section 201(a) and (b) and the personal property replacement income tax

imposed under IITA Section 201(c) and (d).

2) For the carryforward of losses incurred prior to certain corporate or

partnership reorganizations or acquisitions, see IITA Section

100.4500405.

3) IITA Section 207(a) provides that losses that may be carried over and

deducted in other years are those losses that result after the modifications

of IITA Section 203(b)(2), (c)(2) and (d)(2) are made, and after the

allocation and apportionment rules of IITA Article 3 are applied.

Accordingly:

A) No exemption allowed under IITA Section 204 isshall be taken

into account in computing a loss that may be carried over and

deducted under IITA Section 207; and

B) No deduction for any loss carried over pursuant to IITA Section

207 ismay be taken into account in computing a loss that may be

carried to and deducted in another taxable year under IITA Section

207.

4) Subchapter S Corporationscorporations and Partnershipspartnerships


18



A) IITA Section 207(a) allows the carryover of losses that result after

the modifications of IITA Section 203(b)(2) and (d)(2) are made.

IITA Section 203(b) applies to subchapterSubchapter S

corporations and IITA Section 203(d) applies to partnerships.

Accordingly, IITA Section 207 allows subchapterSubchapter S

corporations and partnerships carryover deductions for losses

incurred.

B) Neither IITA Section 207 nor IRC sectionSection 172 of the

Internal Revenue Code distinguishes between

subchapterSubchapter S corporations and corporations governed

by subchapterSubchapter C of the Internal Revenue Code. IRC

sectionSection 1363(b)(2) of the Internal Revenue Code provides

that no net operating deduction allowable under IRC

sectionSection 172 is of the Internal Revenue Code shall be

allowed in the computation of taxable income of a

subchapterSubchapter S corporation and IRC sectionSection

1371(b) of the Internal Revenue Code prohibits any carryforward

or carryback between a taxable year in which a corporation is a

subchapterSubchapter S corporation and a taxable year in which it

is not. Neither IRC sectionSection 1363 nor IRC sectionSection

1371 of the Internal Revenue Code is applicable to the carryover

and deduction of losses under IITA Section 207. Accordingly,

subject to the other provisions of this Section, a loss incurred in a

taxable year in which a corporation is a subchapterSubchapter S

corporation shall be carried to and deducted in any taxable year in

which it is not a subchapterSubchapter S corporation in the same

manner as if the corporation were a subchapterSubchapter S

corporation in that year, and a loss incurred in a taxable year in

which a corporation is not a subchapterSubchapter S corporation

mayshall likewise be carried to and deducted in any taxable year in

which it is a subchapterSubchapter S corporation.

EXAMPLE: X Corporation is a subchapterSubchapter S

corporation throughout the calendar year 1998. Effective for 1999,

X Corporation's subchapterSubchapter S election is terminated. In

2000, X Corporation incurs an Illinois loss. Unless X Corporation

elects to carry the loss forward only, the loss ismust first be carried

back and deducted in 1998 and only the amount of loss in excess


18



of 1998 taxable income ismay be carried to 1999 and subsequent

years.

C) Losses carried over pursuant to IITA Section 207 are deductible

only under that Section, and that Section allows the deduction only

of losses that result when the taxpayer's own taxable income is less

than zero. Accordingly, no loss carried over and deducted by a

partnership or subchapterSubchapter S corporation in a taxable

year may reduce the taxable income of any partner or shareholder

of the taxpayer in that taxable year.

5) Suspension of Illinois Net Loss Deductions. In the case of a corporation

(other than a subchapter S corporation), no carryover deduction is

allowed under IITA Section 207 for any taxable year ending after

December 31, 2010 and prior to December 31, 2012, and no carryover

deduction may exceed $100,000 for any taxable year ending on or after

December 31, 2012 and prior to December 31, 2014; provided that, for

purposes of determining the taxable years to which a net loss may be

carried under IITA Section 207(a), any taxable year for which a

deduction is disallowed under this subsection (f)(5), or for which the

deduction would exceed $100,000 if not for this subsection (f)(5), is not

counted. (IITA Section 207(d))

EXAMPLE: Pursuant to this subsection (f)(5), in determining the taxable

years to which a loss incurred by C Corporation in its taxable year ending

December 31, 2009 may be carried:

A) the taxable year ending December 31, 2011 is not counted even if

C Corporation's net income for the year is a negative;

B) the taxable year ending December 31, 2012 is not counted if C

Corporation's net income (before any net loss deduction) is greater

than $100,000; and

C) the taxable year ending December 31, 2012 is counted if C

Corporation's net income (before any net loss deduction) is

$100,000 or less or is negative.


18



6) Holders of Residual Interests in Real Estate Mortgage Investment

Companies (REMICs)

A) Under IRC section 860E(a)(1), the taxable income of a holder of a

residual interest in a REMIC may not be less than the amount of

"excess inclusion" income from the REMIC for that taxable year.

If the residual interest holder's federal net income would otherwise

be less than the excess inclusion amount, the residual interest

holder carries over the excess of its actual federal taxable income

over the amount of its federal taxable income computed without

regard to IRC section 860E(a)(1) as a net operating loss under IRC

section172.

B) IITA Prior to PA 97-507. Under IITA Section 207, the net loss of a

taxpayer (other than an individual) for a taxable year is its taxable

income for the year, as properly reportable for federal income tax

purposes, after modifications in IITA Section 203(b)(2), (c)(2) and

(d)(2). Under IITA Section 203(b)(2)(D) and (c)(2)(D),

corporations, trusts and estates add back to their taxable income

any net operating loss deduction claimed under IRC section 172

for a loss incurred in a taxable year ending on or after December

31, 1986. As a result, a corporation, trust or estate whose excess

inclusion amount exceeded its federal taxable income computed

without regard to IRC section 860E(a)(1) for a taxable year would

receive no tax benefit from the deductions or losses that caused the

excess, because those deductions or losses could not reduce its

federal taxable income in the year incurred and any resulting IRC

section 172 carryover deduction would need to be added back to

taxable income in the carryover years under IITA Section

203(b)(2)(D) or (c)(2)(D).

C) In order to allow a corporation the benefit of deductions otherwise

disallowed by IRC section 860E(a)(1) and IITA Section

203(b)(2)(D) and (c)(2)(D), PA 97-507 added subsection (e) to

IITA Section 207 to allow a residual interest holder an Illinois net

loss carryover computed in the same manner as the federal net

operating loss carryover allowed under IRC section 860E. IITA

Section 207(e) provides that, in the case of a residual interest


18



holder in a REMIC subject to IRC section 860E, the net loss in

IITA Section 207(a) is equal to:

i) the amount computed under IITA Section 207(a), without

regard to IITA Section 207(e) or, if that amount is positive,

zero;

ii) minus an amount equal to the amount computed under

IITA Section 207(a), without regard to IITA Section

207(e), minus the amount that would be computed under

IITA Section 207(a) if the taxpayer's federal taxable

income were computed without regard to IRC section 860E

and without regard to IITA Section 207(e).

D) IITA Section 207(e) applies to all taxable years and is exempt from

automatic sunset under IITA Section 250.


Section 100.2360 Illinois Net Losses and Illinois Net Loss Deductions for Losses of

Cooperatives Occurring On or After December 31, 1986 (IITA Section 203(e)(2)(F))

a) Under Internal Revenue Code section 1382(b), cooperatives are allowed to deduct

distributions of profits made to their members, or "patronage dividends". The

deduction may only be taken against a cooperative's taxable income from

transactions with its members, or "patronage income". If patronage income is

negative, the cooperative may not offset that "patronage loss" against its income

from transactions with nonmembers, or "nonpatronage income", but instead

carries the patronage loss over as a net operating loss under IRC section 172 to

offset patronage income in the carryover year. (See Farm Service Cooperative v.

Commissioner, 615 F.2d 1235 (8th Cir. 1980).)

b) IITA Prior to PA 96-932. Under IITA Section 203(b), the base income of a

cooperative for a taxable year is its taxable income for the year, as properly

reportable for federal income tax purposes, after modifications in IITA Section

203(b)(2). IITA Section 203(b)(2)(D) requires a cooperative to add back to its

taxable income any net operating loss deduction claimed under IRC section 172

for a loss incurred in a taxable year ending on or after December 31, 1986. As a

result, a cooperative that incurred a patronage loss in the same year it had positive


18



nonpatronage income would receive no tax benefit from the deductions or losses

that caused the patronage loss, because the patronage loss could not offset its

nonpatronage income in the year it was incurred and any deduction of a carryover

of the loss would be added back to taxable income in the carryover years under

IITA Section 203(b)(2)(D).

c) PA 96-932 amended IITA Section 203(e)(2)(F) to provide that the taxable income

of a cooperative is determined in accordance with the provisions of IRC sections

1381 through 1388, but without regard to the prohibition against offsetting losses

from patronage activities against income from nonpatronage activities, However,

IITA Section 203(e)(2)(F) provides that a cooperative may make an election to

follow its federal income tax treatment of patronage losses and nonpatronage

losses. In the event the election is made, the losses are computed and carried over

in a manner consistent with IITA Section 207(a) and apportioned by the

apportionment factor reported by the cooperative on its Illinois income tax return

filed for the taxable year in which the losses are incurred. PA 96-932 provided

that it is declaratory of existing law.

d) Making the Election. The election to follow the federal income tax treatment of

patronage losses is made by the cooperative checking the appropriate box on

Schedule INL, Illinois Net Loss Adjustment for Cooperatives and REMIC

Owners, on its original return for its first taxable year ending on or after

December 31, 2010 to which it intends the election to apply. The election may be

made for years ending prior to December 31, 2010 by filing an amended return

for any open year, claiming a deduction under IITA Section 207 for any patronage

loss carryover to that year, as allowed under PA 96-932 for those making the

election.

1) Effect of Making the Election. If an election has been made, patronage

losses carried forward under subsection (c) may be used to offset only

patronage income, and nonpatronage losses carried forward under

subsection (c) may be used to offset only nonpatronage income. The

election is effective for all taxable years, with original returns due on or

after the date of the election. Once made, the election may only be revoked

upon approval of the Director. (IITA Section 203(e)(2)(F)) Requests for

approval of a revocation of the election are made by asking for a private

letter ruling approving the revocation under 2 Ill. Adm. Code 1200.110.

The request shall give the reasons for the request and state the first taxable

year to which the election will no longer apply. The request will be


18



granted or denied by private letter ruling. If a request is denied, the

taxpayer may challenge the denial by filing a return in accordance with the

election and then filing an amended return that does not apply the election

and claiming a refund for overpayment.

2) Effect of Revoking an Election. If an election is revoked, patronage and

nonpatronage losses incurred in taxable years to which the election applied

under subsection (c), and that are otherwise available to carry over, may

be used to offset both patronage and nonpatronage income in taxable years

ending on or after the date stated in the private letter ruling request. A

cooperative that has revoked an election under this subsection (d) may

again make the election for any taxable year after the first taxable year to

which the revocation applied. If a subsequent election is made under this

subsection (d)(2), any patronage or nonpatronage loss carryover under

subsection (c) from a taxable year to which the earlier election applied

may be used only to offset patronage or nonpatronage income,

respectively, in any taxable year to which the new election applies.

(Source: Added at 42 Ill. Reg. 17852, effective September 24, 2018)

SUBPART E: ADDITIONS TO AND SUBTRACTIONS FROM TAXABLE INCOME OF

INDIVIDUALS, CORPORATIONS, TRUSTS AND ESTATES AND PARTNERSHIPS

Section 100.2405 Gross Income, Adjusted Gross Income, Taxable Income and Base Income

Defined; Double Deductions Prohibited; Legislative Intention (IITA Section 203(e), (g) and

(h))

a) General Definitionsdefinitions. For the purposes of IITA Sections 203 and

803(e), and subject to the exceptions discussed in this Section, a taxpayer's gross

income, adjusted gross income or taxable income for the taxable year shall mean

the amount of gross income, adjusted gross income or taxable income properly

reportable for federal income tax purposes for the taxable year under the

provisions of the Internal Revenue Code. (IITA Section 203(e)(1))

b) Taxable Income Less than Zeroincome less than zero. Taxable income may be

less than zero. (IITA Section 203(e)(1)) Accordingly, when the computation of a

taxpayer's base income begins with its taxable income and its taxable income is

negative, it may offset that negative amount against any addition modifications


18



required to be made under IITA Section 203, consistent with the provisions of this

subsection (b).

1) Taxable Years Ending On or Afteryears ending on or after December 31,

1986. A)For taxable years ending on or after December 31, 1986, net

operating loss carry-forwards from taxable years ending prior to

December 31, 1986 may not exceed the sum of federal taxable income for

the taxable year before net operating loss deduction, plus the excess of

addition modifications for the taxable year. (IITA Section 203(e)(1))

B)EXAMPLEExample 1:. In its taxable year ending December 31, 1986,

Corporation A properly reports a federal net operating loss (FNOL) of

$100,000, all of which is available to carry forward to its taxable years

ending on or after December 31, 1987 for federal income tax purposes.

Corporation A has addition modifications for its taxable year ending

December 31, 1986 that exceed its subtraction modifications for that year

by $5,000. For Illinois income tax purposes, the federal net operating loss

available to carry forward is $95,000 (the $100,000 federal net operating

loss minus the $5,000 in excess addition modifications). In its taxable

year ending December 31, 1987, Corporation A deducts $97,000 of the

federal net operating loss. The remainder is deducted in its taxable year

ending December 31, 1988. For purposes of IITA Section 203,

Corporation A's taxable income for the taxable year ending December 31,

1987 is computed without allowing $2,000 of the federal net operating

loss deduction taken in that year and its taxable income for December 31,

1988 is computed without allowing any of the $3,000 federal net operating

deduction. In order to avoid a double benefit, Corporation A addsmust add

back the ineligible $2,000 and $3,000 of FNOL for Illinois purposes on its

Illinois return for 1987 and 1988, respectively.

2) Taxable Years Ending Beforeyears ending before December 31, 1986.

A) For taxable years ending prior to December 31, 1986, taxable

income may never be an amount in excess of the net operating loss

for the taxable year as defined in Internal Revenue Code section

172(c) and (d), provided that when taxable income of a

corporation (other than a subchapter S corporation), trust, or

estate is less than zero and addition modifications, other than

those provided by IITA Section 203(b)(2)(E) or (c)(2)(E) for trusts


18



and estates, exceed subtraction modifications, an addition

modification ismust be made under those subsections

subparagraphs for any other taxable year to which taxable income

less than zero (net operating loss) is applied under IRCInternal

Revenue Code section 172 or IITA Section 203(e)(2)(E) in

conjunction with IRCInternal Revenue Code section 172. (IITA

Section 203(e)(1))

B) For application of this provision, see Sections 100.2230 and

100.2410.

3) Pre- and post-1986 net losses are discussed in detail in Sectionsat 86 Ill.

Adm. Code 100.2200 through 100.2250 and individual net losses are

specifically discussed at Section 100.2410.

c) Special Rules Regarding Certain Taxpayersrules regarding certain taxpayers.

Many taxpaying entities do not calculate federal taxable income on a federal

taxable return or use a special variation of federal taxable income. For these

taxpayers, IITA Section 203(e)(2) defines federal taxable income. Thus, for

purposes of IITA Section 203, the taxable income properly reportable by the

following taxpayers for federal income tax purposes meansshall mean:

1) Certain Life Insurance Companieslife insurance companies – for life

insurance companies taxable under IRC Internal Revenue Code section

801, life insurance company taxable income, plus the amount of

distribution from pre-1984 policyholder surplus accounts as calculated

under IRC Internal Revenue Code section 815a. (IITA Section

203(e)(2)(A));

2) Mutual Insurance Companiesinsurance companies – for mutual insurance

companies taxable under IRC Internal Revenue Code section 831,

insurance company taxable income. (IITA Section 203(e)(2)(B));

3) Regulated Investment Companiesinvestment companies (RICs) – for RICs

taxable under IRCInternal Revenue Code section 852, investment

company taxable income. (IITA Section 203(e)(2)(C));


18



4) Real Estate Investment Trustsestate investment trusts (REITs) – for REITs

taxable under IRCInternal Revenue Code section 857, REIT taxable

income. (IITA Section 203(e)(2)(D));

5) Consolidated Corporationscorporations – for a corporation that is a

member of an affiliated group of corporations filing a federal consolidated

income tax return for the taxable year, taxable income determined as if

thatsuch corporation had filed a separate return federally for the taxable

year and for each preceding taxable year for which it was a member of an

affiliated group and also determined as if the election provided under IRC

Internal Revenue Code section 243(b)(2) had been in effect for all such

years. (IITA Section 203(e)(2)(E)). However, for purposes of computing

the combined taxable income and combined base income of a unitary

business group for purposes of IITA Sections 304(e) and 502(e), Section

100.5270 provides thatrequires the unitary business group generally

appliesto use the federal consolidated return regulations;

6) Cooperatives – for cooperative corporations or associations, taxable

income of such organization determined in accordance with IRCInternal

Revenue Code sections 1381 through 1388, inclusive, but without regard

to the prohibition against offsetting losses from patronage activities

against income from nonpatronage activities; except that a cooperative

corporation or association may make an election to follow its federal

income tax treatment of patronage losses and nonpatronage losses. In the

event the election is made, patronage losses and nonpatronage losses are

computed and carried over in a manner consistent with IITA Section

207(a) and apportioned by the apportionment factor reported by the

cooperative on its Illinois income tax return filed for the taxable year in

which the losses are incurred. (IITA Section 203(e)(2)(F)) (see PA 96-

932). (See Section 100.2360 for more guidance.);

7) Subchapter S Corporationscorporations – Subchapter S corporations are

not generally subject to federal income tax but instead act as conduits

through which items of gain, loss, income and deduction flow to their

owners. Accordingly, a special rule for computing "taxable income" is

necessary to enable them to compute their Illinois base income for

purposes of determining their Illinois Personal Property Tax Replacement

Income Tax liability under IITA Section 201(c) and (d).


18



A) Election in Effecteffect. For subchapter S corporations for which

there is in effect an election for the taxable year under IRC

sectionInternal Revenue Code section 1362, "taxable income"

means taxable income determined in accordance with IRC Internal

Revenue Code section 1363(b), except that taxable income

takesshall also take into account those items that are required to

be separately stated under IRC Internal Revenue Code section

1363(b)(1). (IITA Section 203(e)(2)(G)(i))

B) Items that arerequired to be separately stated under IRCInternal

Revenue Code section 1363(b)(1), as listed in 26 CFR 1.1366-

1(a)(2), include:

i) The corporation's combined net amount of gains and losses

from sales or exchanges of capital assets;

ii) The corporation's combined net amount of gains and losses

from sales or exchanges of property used in the trade or

business and involuntary conversions;

iii) Charitable contributions paid by the corporation within the

taxable year of the corporation;

iv) The taxes described in IRC Internal Revenue Code section

901 that have been paid (or accrued) by the corporation to

foreign countries or to possessions of the United States;

v) Each of the corporation's separate items involved in the

determination of credits against tax allowable under IRC

part IV, of subchapter A (section 21 et seq.) of the Internal

Revenue Code, except for any credit allowed under IRC

Internal Revenue Code section 34 (relating to certain uses

of gasoline and special fuels);

vi) Each of the corporation's separate items of gains and losses

from wagering transactions (IRC Internal Revenue Code

section 165(d)); soil and water conservation expenditures

(IRC Internal Revenue Code section 175); deduction under

an election to expense certain depreciable business


18



expenses (IRC Internal Revenue Code section 179);

medical, dental, etc., expenses (IRC Internal Revenue Code

section 213); the additional itemized deductions for

individuals provided in part VII of subchapter B of the

Internal Revenue Code (IRC Internal Revenue Code

section 212 et seq.); and any other itemized deductions for

which the limitations on itemized deductions under IRC

Internal Revenue Code section 67 or IRC section 68

applies;

vii) Any of the corporation's items of portfolio income or loss,

and related expenses, as defined in 26 CFR 1.469-0 through

11 (2007) under IRC Internal Revenue Code section 469;

viii) The corporation's tax-exempt income. For purposes of

subchapter S, tax-exempt income is income that is

permanently excludible from gross income in all

circumstances in which the applicable provision of the

Internal Revenue Code applies. For example, income that

is excludible from gross income under IRC Internal

Revenue Code section 101 (certain death benefits) or IRC

Internal Revenue Code section 103 (interest on state and

local bonds) is tax-exempt income, while income that is

excludible from gross income under IRC Internal Revenue

Code section 108 (income from discharge of indebtedness)

or IRC Internal Revenue Code section 109 (improvements

by lessee on lessor's property) is not tax-exempt income;

and

ix) Any other item identified in guidance (including forms and

instructions) issued by the IRS Commissioner of Internal

Revenue as an item required to be separately stated.

C) Treatment of Items That Are Separately Stated Under IRC Section

items required to be separately stated under Internal Revenue Code

section 1363(b)(1). Many items are required to be separately

stated because their deduction is limited by the taxable income or

adjusted gross income of the taxpayer, and this limitation ismust be

determined by each shareholder rather than by the subchapter S


18



corporation. IITA Section 203(e)(2)(G) permits the deduction of

these items without imposing the limitations that could apply to the

shareholder. For example, charitable deductions that aremust be

separately stated are deductible by a subchapter S corporation

without regard to the limitations under IRC 26 USCInternal

Revenue Code section 170(b).

D) Items that are not separately stated under IRC Internal Revenue

Code section 1363(b), and that are notcannot be taken into account

in computing "taxable income" for purposes of IITA Section 203,

include:

i) IRC Internal Revenue Code section 199(d)(1)(A) provides

that the deduction under IRC Internal Revenue Code

section 199 for the domestic production activities income

of a subchapter S corporation are taken at the shareholder

level, rather than by the corporation. Because these

deductions are separately stated under this provision and

not under IRC Internal Revenue Code section 1363(b)(1), a

subchapter S corporation shallmay not take these

deductions in computing its taxable income for purposes of

IITA Section 203.

ii) IRC Internal Revenue Code section 613A(c)(11) provides

that percentage depletion deductions for oil and gas

property of a subchapter S corporation areis computed

separately for each shareholder. Because these deductions

are separately stated under this provision and not under

IRC Internal Revenue Code section 1363(b)(1), a

subchapter S corporation shallmay not take these

deductions in computing its taxable income for purposes of

IITA Section 203. However, in the case of any subchapter

S corporation that deducted percentage depletion on oil and

gas properties on any return filed prior to March 31, 2008

in reliance on the return instructions for the Form IL-1120-

ST, any increase in Illinois income tax liability that would

result from disallowing the percentage depletion deduction

for oil and gas property for that year isshall be abated under


18



Section 4(c) of the Taxpayers' Bill of Rights Act [20 ILCS

2520/4(c)].

E) Election Not in Effectnot in effect. For subchapter S corporations

for which there is in effect an election to opt out of the provisions

of the Subchaptersubchapter S Revision Act of 1982 and that have

applied instead the prior federal subchapter S rules as in effect on

July 1, 1982, "taxable income" means the taxable income of such

corporation determined in accordance with the federal subchapter

S rules as in effect on July 1, 1982. (IITA Section

203(e)(2)(G)(ii));

8) Partnerships – Partnerships are not generally subject to federal income tax,

but instead act as conduits through which items of gain, loss, income and

deduction flow to their owners. Accordingly, a special rule for computing

"taxable income" is necessary to enable partnerships to compute their

Illinois base income for purposes of determining their Illinois Personal

Property Tax Replacement Income Tax liability under IITA Section

201(c) and (d). For partnerships, "taxable income" is taxable income

determined in accordance with IRC sectionInternal Revenue Code section

703, except that taxable income shall take into account those items that

are separately stated under IRC required by Internal Revenue Code

section 703(a)(1), to be separately stated but would be taken into account

by an individual in calculating his or her taxable income. (IITA Section

203(e)(2)(H))

A) Items That Are Separately Stated Under IRC Section required to be

separately stated under Internal Revenue Code section 703(a)(1).

IRC Internal Revenue Code section 703(a)(1) provides that items

listed in IRC Internal Revenue Code section 702(a) aremust be

separately stated. These items are:

i) gains and losses from sales or exchanges of capital assets

held for not more than 1 year;

ii) gains and losses from sales or exchanges of capital assets

held for more than 1 year;


18



iii) gains and losses from sales or exchanges of property

described in IRC Internal Revenue Code section 1231

(relating to certain property used in a trade or business and

involuntary conversions);

iv) charitable contributions (as defined in IRC Internal

Revenue Code section 170(c));

v) dividends entitled to capital gains treatment under IRC

Internal Revenue Code section 1(h)(11) or to the corporate

dividends-received deduction under part VIII of subchapter

B of the Internal Revenue Code;

vi) taxes for which the foreign tax credit may be allowed under

IRC Internal Revenue Code section 901, paid or accrued to

foreign countries and to possessions of the United States;

and

vii) other items of income, gain, loss, deduction or credit to the

extent provided by regulations prescribed by the Secretary

of the Treasury (see 26 CFR 1.702-1).

B) Treatment of Items That Are Separately Stated Under IRC Section

items required to be separately stated under Internal Revenue Code

section 703(a)(1). Many items are required to be separately stated

because their deduction is limited by the taxable income or

adjusted gross income of the taxpayer, and this limitation ismust be

determined by each partner rather than by the partnership. IITA

Section 203(e)(2)(H) permits the deduction of these items without

imposing the limitations that could apply to the partner. For

example, charitable deductions that aremust be separately stated

are deductible by a partnership without regard to the limitations

under IRC Internal Revenue Code section 170(b).

C) Items not separately stated under IRC Internal Revenue Code

section 703(a)(1), and that are notcannot be taken into account in

computing "taxable income" for purposes of IITA Section 203,

include:


18



i) IRC Internal Revenue Code section 199(d)(1)(A) provides

that the deduction under IRC Internal Revenue Code

section 199 for the domestic production activities income

of a partnership is taken at the partner level, rather than by

the partnership. Because these deductions are separately

stated under, this provision and not the provision under IRC

Internal Revenue Code section 703(a)(1), a partnership

doesmay not take these deductions in computing its taxable

income for purposes of IITA Section 203;

ii) IRC Internal Revenue Code section 613A(c)(11) provides

that percentage depletion deductions for oil and gas

property of a partnership is computed separately for each

partner. Because these deductions are separately stated

under, this provision and not the provision under IRC

Internal Revenue Code section 703(a)(1), a partnership

doesmay not take these deductions in computing its taxable

income for purposes of IITA Section 203. However, in the

case of any partnership that deducted percentage depletion

on oil and gas properties on any return filed prior to March

31, 2008 in reliance on the return instructions for the Form

IL-1065, any increase in Illinois income tax liability that

would result from disallowing the percentage depletion

deduction for oil and gas property for that year isshall be

abated under Section 4(c) of the Taxpayers' Bill of Rights

Act [20 ILCS 2520/4(c)]; and

iii) IRC Internal Revenue Code section 108(a) provides that a

taxpayer in bankruptcy or that is insolvent does not

recognize income from discharge of indebtedness. IRC

Internal Revenue Code section 108(d)(6) provides that,

when indebtedness of a partnership is discharged, this

exemption applies only at the partner level. Accordingly,

the exemption in IRC Internal Revenue Code section

108(a) does not apply in determining the taxable income of

a partnership;

9) Electing Small Business Trustsmall business trust (ESBT). An ESBT that

owns both stock in one or more subchapter S corporations and other


18



property is treated as two separate trusts under IRC Internal Revenue Code

section 641. However, the IRS practice is to require the ESBT to file a

single return and pay tax on the income from both sources. In these cases,

the income of the ESBT derived by the ESBT from investments in

subchapter S corporations is not reported, but rather the tax liability

attributable to that income is computed separately and added to the tax

liability computed for the other property of the ESBT. In order to allow

the ESBT to file a single Illinois income tax return, an ESBT that owns

both stock in subchapter S corporations and other property shall include

income from both sources in its taxable income for purposes of IITA

Section 203.

d) Special Rule Regarding Recapture of Business Expenses on Disposition of Asset

or Businessrule regarding recapture of business expense on disposition of asset or

business. Notwithstanding any other law to the contrary, if in prior years income

from an asset or business has been classified as business income and in a later

year is demonstrated to be non-business income, then all expenses, without

limitation, deducted in such later year and in the two immediately preceding

taxable years related to that asset or business that generated the non-business

income, areshall be added back and recaptured as business income in the year of

the disposition of the asset or business. The amount of the add-back isSuch

amount shall be apportioned to Illinois using the greater of the apportionment

fraction computed for the business under IITA Section 304 for the taxable year or

the average of the apportionment fractions computed for the business under IITA

Section 304 for the taxable year and for the two immediately preceding taxable

years. (IITA Section 203(e)(3)) This provision is effective for tax years ending

on or after July 30, 2004 (the effective date of PAPublic Act 93-840).

1) IITA Section 203(e)(3) requires recapture of expenses treated as business

expenses in a taxable year for which the taxpayer has made an election

under IITA Section 1501(a)(1) to treat all of its income (other than

employee compensation) as business income whenever, in a subsequent

year, the taxpayer fails to make that election, so that income from an asset

is treated as business income in the earlier year and as nonbusiness income

in the subsequent year.

2) IITA Section 203(e)(3) does not shall not require the recapture of business

expenses passed through to a partner in any taxable year by a partnership

that qualifies as an investment partnership under IITA Section


18



1501(a)(11.5) in a subsequent taxable year, causing all income of the

partnership to be characterized as nonbusiness income under IITA Section

305(c-5).

3) IITA Section 203(e)(3) does not shall not require a partner, a shareholder

in a subchapter S corporation, or a beneficiary of a trust or estate to

recapture of business expenses passed through to a partner, a shareholder

in a subchapter S corporation, or a beneficiary of a trust or estate by the

partnership, subchapter S corporation, trust or estate for a taxable year

merely because nonbusiness income is passed through the partnership,

subchapter S corporation, trust or estate in a subsequent year. However,

recapture of those business expenses passed through in a taxable year shall

be required by the partner, shareholder or beneficiary if the partnership,

subchapter S corporation, trust or estate is required to recapture business

expenses for that taxable year or if the business expenses were passed

through in the same year that the partnership, subchapter S corporation,

trust or estate also passed through nonbusiness income that the partner,

shareholder or beneficiary elected to treat as business income under IITA

Section 1501(a)(1) and the partner, shareholder or beneficiary fails to

make that election with respect to nonbusiness income passed through by

the partnership, subchapter S corporation, trust or estate in a subsequent

year.

e) Illinois Base Income Definedbase income defined. "Illinois base income" is the

amount determined by applying addition and subtraction modifications

specifically authorized under the IITA to either federal adjusted gross income (in

the case of individuals) or federal taxable income (in the case of all other

taxpayers). An item taken into account on the federal income tax return after the

computation of federal taxable income or federal adjusted gross income iswill not

taken into accountbe reflected on the corresponding Illinois income or

replacement income tax return unless specifically authorized in the IITA. For

example, itemized deductions, which are taken on Schedule A to the U.S. 1040

after federal adjusted gross income has already been calculated, are not reflected

in Illinois base income.

f) Double Deductions Prohibiteddeductions prohibited. No item of deduction may

be taken into account twice in the calculation of Illinois base income unless

specifically authorized under the IITA. If a subtraction modification applies to an

item that is already excluded or deducted in computing adjusted gross income or


18



federal taxable income, or to which another subtraction applies, it will be

disallowed. (See IITA Section 203(g).)

g) Legislative Intentionintention. IITA Section 203(h) provides that, unless

specifically authorized under the IITA Section 203, no modifications or

limitations on the amounts of income, gain, loss or deduction areshall be taken

into account in determining gross income, adjusted gross income or taxable

income for federal income tax purposes for the taxable year, or in the amount of

such items entering into the computation of Illinois base income and net income

(defined at Section 100.2050) for thesuch taxable year, whether in respect of

property values as of August 1, 1969 or otherwise.


SUBPART F: BASE INCOME OF INDIVIDUALS

Section 100.2565 Subtraction for Recovery of Itemized Deductions (IITA Section

203(a)(2)(I))

a) In computing base income, an individual is allowed to subtract from his or her

federal adjusted gross income an amount equal to all amounts included in that

total pursuant to the provisions of IRC section 111 as a recovery of items

previously deducted from adjusted gross income in the computation of taxable

income. (IITA Section 203(a)(2)(I))

b) Under IRC section 111, a taxpayer who is allowed a deduction in computing

federal taxable income in one taxable year, and recovers the deductible

expenditure in a subsequent taxable year, includes the recovery in gross income in

the year of recovery. For example, an individual who claims an itemized

deduction for State income taxes paid in 2015 on his or her 2015 federal income

tax return, and in 2016 receives a refund of some of that tax, includes the refund

in gross income for 2016. This procedure prevents the taxpayer from receiving a

tax benefit for an expenditure that ultimately did not cost the taxpayer, without

requiring the filing of an amended return to remove the deduction from the

computation of taxable income in the year the deduction was taken.

c) Under IITA Section 203(a)(1), the computation of an individual's base income

begins with his or her federal adjusted gross income, which is equal to taxable

income before itemized deductions, the standard deduction and personal


18



exemptions are taken into account. As a result, individuals receive no Illinois

income tax benefit from federal itemized deductions. Accordingly, recoveries of

federal itemized deductions do not need to be included in an individual's base

income to prevent the individual receiving a tax benefit for the item. IITA Section

203(a)(2)(I) therefore allows individuals to subtract recoveries of itemized

deductions that are included in their federal adjusted gross income.

d) IITA Section 203(a)(2)(I) was enacted before the September 16, 1994 effective

date of PA 88-660, which enacted the automatic sunset provisions in IITA Section

250. The automatic sunset provisions therefore do not apply to this Section.


SUBPART G: BASE INCOME OF CORPORATIONS

Section 100.2665 Subtraction for Payments to an Attorney-in-Fact (IITA Section

203(b)(2)(R))

a) Under an interinsurance or reciprocal insurance arrangement, the members or

subscribers are liable to reimburse each other for insured losses. The operations

of an interinsurer or reciprocal insurer are conducted by an attorney-in-fact.

Interinsurers and reciprocal insurers are subject to federal income tax as mutual

insurance companies. (See Internal Revenue Code section 832(f).) Under IRC

section 835, an interinsurer or reciprocal insurer can elect to limit its deduction for

fees paid to its attorney-in-fact to the amount of deductible expenses incurred by

the attorney-in-fact that are attributable to those fees. An interinsurer or reciprocal

insurer that makes this election is allowed a credit equal to the federal income tax

liability of its attorney-in-fact with respect to the fees received from the

interinsurer or reciprocal insurer.

b) The effect of making an election under IRC section 835 is that the net income of

the attorney-in-fact related to the interinsurer or reciprocal insurer that made the

election is included in the federal taxable income of both the attorney-in-fact and

the interinsurer or reciprocal insurer, but the interinsurer or reciprocal insurer is

allowed a federal credit that eliminates the double taxation of that income. Prior to

the enactment of PA 91-205, that income would be included in the base incomes

of the interinsurer or reciprocal insurer and of the attorney-in-fact. On and after

July 20, 1999 (the effective date of PA 91-205), in the case of an attorney-in-fact

with respect to whom an interinsurer or a reciprocal insurer has made the election


18



under IRC section 835, the attorney-in-fact is allowed to subtract an amount equal

to the excess, if any, of the amounts paid or incurred by that interinsurer or

reciprocal insurer in the taxable year to the attorney-in-fact over the deduction

allowed to that interinsurer or reciprocal insurer with respect to the attorney-in-

fact under IRC section 835 for the taxable year. (IITA Section 203(b)(2)(R)) The

provisions of IITA Section 203(b)(2)(R) are exempt from automatic sunset under

the provisions of Section 250.


Section 100.2668 Subtraction for Dividends from Controlled Foreign Corporations (IITA

Section 203(b)(2)(Z))

a) Under Internal Revenue Code section 965(e), the taxable income of a shareholder

of a controlled foreign corporation (CFC) may not be less than the "nondeductible

CFC dividends" received from that CFC, as defined in IRC section 965(e)(3). If

the shareholder's federal net income would otherwise be less than the

nondeductible CFC dividends, the shareholder carries over the excess of its

nondeductible CFC dividends over the amount of its federal taxable income

computed without regard to IRC section 965(e) as a net operating loss under IRC

section 172.

b) IITA Prior to PA 97-507. Under IITA Section 203(b), the base income of a

corporation for a taxable year is its taxable income for the year, as properly


203(b)(2). Under IITA Section 203(b)(2)(D), any net operating loss deduction

claimed by a corporation under IRC section 172 for a loss incurred in a taxable

year ending on or after December 31, 1986, is added back to the corporation's

taxable income. Under IITA Section 207, the net loss of a taxpayer (other than an

individual) for a taxable year is its taxable income for the year, as properly


203(b)(2). As a result, a corporation whose nondeductible CFC dividends

exceeded its federal taxable income computed without regard to IRC section

965(e) for a taxable year would receive no tax benefit from the deductions or

losses that caused the excess, because those deductions or losses could not reduce

its federal taxable income in the year incurred and any resulting IRC section 172

deduction would be added back to taxable income in the carryover years under

IITA Section 203(b)(2)(D).


18



c) In order to allow a corporation the benefit of deductions otherwise disallowed by

IRC section 965(e) and IITA Section 203(b)(2)(D), PA 97-507 added IITA

Section 203(b)(2)(Z) to allow a subtraction for the difference between the

nondeductible controlled foreign corporation dividends under IRC section

965(e)(3) over the taxable income of the taxpayer, computed without regard to

IRC section 965(e)(2)(A), and without regard to any net operating loss deduction.

IITA Section 203(b)(2)(Z) applies to all taxable years, and is exempt from

automatic sunset under the provisions of Section 250.


SUBPART H: BASE INCOME OF TRUSTS AND ESTATES

Section 100.2770 Subtraction for Recovery of Itemized Deductions of a Decedent (IITA

Section 203(c)(2)(W))

a) In computing its base income, an estate is allowed to subtract from its federal

taxable income an amount equal to all amounts included in that total pursuant to

the provisions of IRC section 111 as a recovery of items previously deducted by

the decedent from adjusted gross income in the computation of taxable income.

(IITA Section 203(c)(2)(W))




the year of recovery. For example, an individual who claims an itemized

deduction for State income taxes paid in 2015 on his or her 2015 federal income

tax return, and in 2016 receives a refund of some of that tax, includes the refund

in gross income for 2016. This procedure prevents the taxpayer from receiving a

tax benefit for an expenditure that ultimately did not cost the taxpayer, without

requiring the filing of an amended return to remove the deduction from the

computation of taxable income in the year the deduction was taken.

c) If the estate of a deceased individual recovers an item that the individual had

deducted in a taxable year prior to his or her death, the estate must include the

recovery in its taxable income.

d) Under IITA Section 203(a)(1), the computation of an individual's base income

begins with his or her federal adjusted gross income, which is equal to taxable

income before itemized deductions, the standard deduction and personal


18



exemptions are taken into account. As a result, individuals receive no Illinois

income tax benefit from federal itemized deductions. Accordingly, recoveries of

federal itemized deductions taken by a decedent do not need to be included in the

base income of the decedent's estate to prevent receiving a tax benefit for the

item. IITA Section 203(c)(2)(W) therefore allows an estate to subtract recoveries

of itemized deductions taken by the decedent that are included in the estate's

federal taxable income.

e) IITA Section 203(c)(2)(W) provides that it is exempt from the automatic sunset

provisions of IITA Section 250.


Section 100.2775 Subtraction for Refunds of Taxes Paid to Other States for Which a

Credit Was Claimed (IITA Section 203(c)(2)(X))

a) In computing its base income, an estate is allowed to subtract from its federal

taxable income an amount equal to the refund included in that total of any tax

deducted for federal income tax purposes, to the extent that deduction was added

back under IITA Section 203(c)(2)(F). (IITA Section 203(c)(2)(X))




the year of recovery. For example, a trust or estate that claims a deduction for

State income taxes paid in 2015 on its 2015 federal income tax return, and in 2016

receives a refund of some of that tax, includes the refund in gross income for

2016. This procedure prevents the taxpayer from receiving a tax benefit for an

expenditure that ultimately did not cost the taxpayer, without requiring the filing

of an amended return to remove the deduction from the computation of taxable

income in the year the deduction was taken.

c) If a trust or estate claims a credit for taxes paid to other states under IITA Section

601(b)(3), the taxpayer adds back to its federal taxable income any deduction

taken for payment of a state tax for which the credit is claimed. (See IITA Section

203(c)(2)(F).) If a trust or estate has added back the federal income tax deduction

for a state tax, a refund of that tax does not need to be included in the taxpayer's

base income to prevent receiving a tax benefit for the item. IITA Section


18



203(c)(2)(X) therefore allows the taxpayer to subtract refunds of these taxes that

are included in the taxpayer's federal taxable income.

d) IITA Section 203(c)(2)(X) provides that it is exempt from the automatic sunset

provisions of IITA Section 250.


SUBPART M: BUSINESS INCOME OF PERSONS OTHER THAN RESIDENTS

Section 100.3420 Apportionment of Business Income of Insurance Companies (IITA

Section 304(b))

a) In General. Except as otherwise provided in this Section, business income of an

insurance company for a taxable year shall be apportioned to this State by

multiplying such income by a fraction, the numerator of which is the direct

premiums written for insurance upon property or risk in this State, and the

denominator of which is the direct premiums written for insurance upon property

or risk everywhere. [IITA Section 304(b)(1)]

b) Insurance Company. For purposes of the IITA, an "insurance company" means

any taxpayer properly treated as an insurance company for purposes of federal

income taxation under subchapter L of the Internal Revenue Code (IRC sections

801 through 848). (See IITA Section 102.) No other taxpayer may be treated as

an insurance company for purposes of the IITA.

c) Direct Premiums Written. "Direct premiums written" means the total amount of

direct premiums written, assessments and annuity considerations as reported for

the taxable year on the annual statement filed by the company with the Illinois

Director of Insurance in the form approved by the National Convention of

Insurance Commissioners (currently known as the National Association of

Insurance Commissioners) or such other form as may be prescribed in lieu of the

National Association of Insurance CommissionersNAIC form.

1) The apportionment factor shall take into account only those receipts that

are included in either "gross premiums written" under IRC section

832(b)(4)(A) of the Internal Revenue Code or "gross amount of

premiums" under IRC section 803(a)(1)(A)of the Internal Revenue Code.

Only receipts that are included in federal taxable income of the taxpayer,


18



and that are not subtracted in the computation of base income under a

provision of Section 203 of the IITA, may be included in the

apportionment factor. (See Continental Illinois National Bank and Trust

Company of Chicago v. Lenckos, 102 Ill.2d 210 (1984).)

2) Only direct premiums written for insurance, assessments against mutual

policyholders and consideration for annuity contracts that include

elements of insurance are included in the apportionment factor. Other

receipts are excluded from the apportionment factor, even if included in

net income.

3) Examples of receipts that are excluded from the apportionment factor

include:

A) Interest, dividends and other income from investments.

B) Gains or losses from the adjustment of reserves, salvage or

subrogation.

C) Deposit-type funds. This is due to the fact that deposit-type funds

involve no insurance risk and are therefore reported separately

from premiums, assessments and annuity considerations on the

annual report.

D) Premiums on which State income taxes are prohibited by federal

law.

4) Premiums rebated or repaid to policyholders and reported as negative

amounts on the annual statement are treated as negative amounts in the

computation of the apportionment factor. However, neither the numerator

nor the denominator of the apportionment factor may be reduced below

zero.

d) Insurance on Property or Risk in this State. A direct premium is written for

insurance upon property or risk in this State and included in the numerator of the

apportionment factor if it is allocated to this State in the annual statement filed by

the insurance company with the Director of Insurance. If an insurance company

does not file an annual statement with the Director of Insurance or if any direct

premiums written by an insurance company are not allocated to a specific state on


18



its annual statement, that insurance company shall include in the numerator of its

apportionment factor the direct premiums written for insurance on property or risk

in this State, determined in accordance with the determination of gross taxable

premium written under Section 409(1) of the Illinois Insurance Code [215 ILCS

5/409(1)], provided that the determination shall be made without allowing the

exceptions in that Section 409(1) for premiums on annuities, premiums on which

State premium taxes are prohibited by federal law, premiums paid by the State for

Medicaid eligible insureds, premiums paid for health care services included as an

element of tuition charges at any university or college owned and operated by the

State of Illinois, premiums on group insurance contracts under the State

Employees Group Insurance Act of 1971 [5 ILCS 375], or premiums for deferred

compensation plans for employees of the State, units of local government or

school districts.

e) Reinsurance. If the principal source of premiums written by an insurance

company consists of premiums for reinsurance accepted by it, the business income

of such company shall be apportioned to this State by multiplying such income by

a fraction, the numerator of which is the sum of direct premiums written for

insurance upon property or risk in this State, plus premiums written for

reinsurance accepted in respect of property or risk in this State, and the

denominator of which is the sum of direct premiums written for insurance upon

property or risk everywhere, plus premiums written for reinsurance accepted in

respect of property or risk everywhere. (IITA Section 304(b)(2))

1) The principal source of premiums written by an insurance company

consists of premiums for reinsurance accepted by the taxpayer for a

taxable year if the premiums written for reinsurance accepted that would

be includable in the denominator of the apportionment fraction for the

taxable year under this subsection (e) exceed the direct premiums written

for insurance that would be includable in the denominator of the

apportionment fraction under this subsection (e).

2) Property or risk in this State. An insurance company may determine the

amount of premiums written for reinsurance accepted in respect of

property or risk in this State by consideration of each premium written, or

the premiums may, at the election of the company, be determined on the

basis of:


18



A) the proportion which premiums written for reinsurance accepted

from companies commercially domiciled in Illinois bears to

premiums written for reinsurance accepted from all sources; or

B) the proportion which the sum of the direct premiums written for

insurance upon property or risk in this State by each ceding

company from which reinsurance is accepted bears to the sum of

the total direct premiums written by each such ceding company for

the taxable year.

3) The election to determine the portion of reinsurance premiums accepted in

respect of property or risk in this State for a particular tax year, by

consideration of each premium written or by either of the alternative

methods outlined in subsection (e)(2), shall be made by using the chosen

method on the taxpayer's return for the taxable year. For taxable years

ending prior to December 31, 2011, the election may be made or changed

at any time. The election made by a company for its first taxable year

ending on or after December 31, 2011 is binding for that company for that

taxable year and for all subsequent taxable years, and may be altered only

with the written permission of the Department, which shall not be

unreasonably withheld. (IITA Section 304(b)(2))

A) A request for permission to alter an election shall be submitted to

the Department as a request for a private letter ruling under 2 Ill.

Adm. Code 1200.110, and permission to alter an election shall be

granted by private letter ruling. Requests may be made for the

change to take effect for a taxable year ending prior to the date the

request is filed, provided that the request shall be granted only if

the statute of limitations for assessment of additional tax is open

for that taxable year and every subsequent taxable year as of the

date the Department responds to the request. The taxpayer and the

Department may agree in writing to extend the statute of

limitations under IITA Section 905(f) in order to allow the

Department time to process the request.

B) If permission to alter an election is denied, the taxpayer may

challenge the denial by filing its return for each taxable year to

which the requested alteration was to apply and for which a return

has not been filed, using the previously-elected method, and:


18



i) paying the excess of its tax liability shown on the return

over the liability that would be shown using the requested

method under protest pursuant to Section 2a.1 of the State

Officers and Employees Money Disposition Act [30 ILCS

230/2a.1] and filing a complaint as provided in that Act; or

ii) by filing a refund claim for that taxable year and any

subsequent year for which a return has been filed, using the

method requested and filing a protest with the Department

or a petition with the Illinois Independent Tax Tribunal in

response to a denial of the claim.



18


NOTICE OF EMERGENCY RULES

1) Heading of the Part: Capital Development Board Procurement Practices for the Quincy

Veterans' Home


3) Section Numbers: Emergency Actions:

930.100 New Section

930.110 New Section

930.120 New Section

930.130 New Section

930.200 New Section

930.205 New Section

930.210 New Section

930.215 New Section

930.220 New Section

930.225 New Section

930.230 New Section

930.235 New Section

930.240 New Section

930.245 New Section

930.250 New Section

930.300 New Section

930.310 New Section

930.320 New Section

930.330 New Section

930.340 New Section

930.350 New Section

930.360 New Section

930.370 New Section

930.380 New Section

4) Statutory Authority: Implementing and authorized by Section 5 of the Quincy Veterans'

Home Rehabilitation and Rebuilding Act [30 ILCS 21/5] and authorized by Section 1-35

of the Illinois Procurement Code [30 ILCS 500/1-35].



18



6) If these emergency rules are to expire before the end of the 150-day period, please

specify the date on which it is to expire: This emergency rulemaking is not set to expire

before the end of the 150-day period.

7) Date Filed with the Index Department: September 18, 2018

8) A copy of these emergency rules, including any material incorporated by reference, is on

file in the Agency's principal office and is available for public inspection.

9) Reason for Emergency: PA 100-610 creates the Quincy Veterans' Home Rehabilitation

and Rebuilding Act ("Quincy Act"), which establishes that CDB shall promulgate and

publish procedures for the solicitation and award of contracts for the renovation,

restoration, rehabilitation, and rebuilding of Quincy Veterans' Home. In addition, the

Public Act amends the Illinois Procurement Code ("Code"). This rulemaking provides

that the Code does not apply to procurements related to the Quincy Act, except

substantial compliance is required for sixteen identified sections of the Code. Identical

rules will also be submitted for publication in the Illinois Register through the general

rulemaking process by the Agency.

10) A Complete Description of the Subjects and Issues Involved: The new Part contains

standards governing procurement methods and procedures for construction and

construction-related services contracts used by the Capital Development Board for

projects located at the Quincy Veterans' Home.


12) Statement of Statewide Policy Objective: This rulemaking will not create a State

mandate for units of local government.

13) Information and questions regarding these emergency rules shall be directed to:

Amy Romano, General Counsel

Capital Development Board

401 S. Spring Street

3rd Floor William G. Stratton Bldg.


217/782-0700



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


18



TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,

PROCUREMENT AND PROPERTY MANAGEMENT

SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES

CHAPTER XII: CAPITAL DEVELOPMENT BOARD

PART 930

CAPITAL DEVELOPMENT BOARD PROCUREMENT PRACTICES

FOR THE QUINCY VETERANS' HOME

SUBPART A: GENERAL

Section


EMERGENCY

930.110 Definitions

EMERGENCY

930.120 Procurement Authority

EMERGENCY

930.130 Procurement Code

EMERGENCY

SUBPART B: PROCUREMENT METHODS AND PROCEDURES

FOR CONSTRUCTION AND CONSTRUCTION-RELATED SERVICES CONTRACTS

Section

930.200 Procurement Methods

EMERGENCY

930.205 Procurement Procedures for Design-Build Contracts

EMERGENCY

930.210 Procurement Procedures for Competitive Bid Contracts

EMERGENCY

930.215 Procurement Procedures for Design Services Contracts

EMERGENCY

930.220 Procurement Procedures for Construction Management Services Contracts

EMERGENCY

930.225 Procurement Procedures for Emergency Contracts

EMERGENCY

930.230 Procurement Procedures for Small Purchase Contracts

EMERGENCY


18



930.235 Procurement Procedures for Sole Source and Limited Source Contracts

EMERGENCY

930.240 Procurement Procedures for Professional Services Contracts

EMERGENCY

930.245 Procurement Procedures for Contracts with Illinois Correctional Industries

EMERGENCY

930.250 Procurement Procedures for Other Procurement Delivery Methods

EMERGENCY

SUBPART C: GENERAL PROVISIONS APPLICABLE TO CONSTRUCTION

AND CONSTRUCTION-RELATED PROCUREMENTS

Section

930.300 Procurement Bulletin

EMERGENCY

930.310 Agreement to Terms

EMERGENCY

930.320 Minority, Women, and Veteran Participation

EMERGENCY

930.330 Prequalification

EMERGENCY

930.340 Protests

EMERGENCY

930.350 Contract Files

EMERGENCY

930.360 Change Orders or Modifications

EMERGENCY

930.370 Performance Evaluation

EMERGENCY

930.380 Substantial Compliance with the Illinois Procurement Code

EMERGENCY

AUTHORITY: Implementing and authorized by Section 5 of the Quincy Veterans' Home

Rehabilitation and Rebuilding Act [330 ILCS 21/5] and authorized by Section 1-35 of the Illinois

Procurement Code [30 ILCS 500/1-35].

SOURCE: Adopted by emergency rulemaking at 42 Ill. Reg. 17899, effective September 18,

2018, for a maximum of 150 days.


18



SUBPART A: GENERAL

Section 930.100 Purpose and Scope

EMERGENCY

a) This Part is established to implement procedures for the solicitation and award of

contracts pursuant to the Quincy Veterans' Home Rehabilitation and Rebuilding

Act [330 ILCS 21] and for the application of the Illinois Procurement Code [30

ILCS 500/1-35] to contracts subject to the Act.

b) This Part applies to contracts for construction and construction-related services

directly related to the renovation, restoration, rehabilitation, or rebuilding of the

Quincy Veterans' Home solicited and awarded after the effective date of the Act.


EMERGENCY

The following definitions shall apply to this Part:

"Act" – The Quincy Veterans' Home Rehabilitation and Rebuilding Act [330

ILCS 21].

"Architect/Engineer" or "A/E" − An architectural or engineering firm that is in the

business of offering the practice of furnishing architectural services, engineering

services, or land surveying services, as those services are defined in the

Architectural, Engineering, and Land Surveying Qualifications Based Selection

Act [30 ILCS 535/15].

"Bid" − An offer made by a bidder in response to a contract item advertised in an

invitation for bids.

"Board" – The seven-member Board of the Capital Development Board.

"CDB" − Capital Development Board, the agency.

"Change Order" − A formal, written directive or agreement that amends a contract

in order to address contingencies affecting the performance and completion of the

contract, including, but not limited to, such matters as extra work, increases or

decreases in quantities or time; additions or alterations to plans, special provisions


18



or specifications; and adjustments or alterations specifically provided for in the

contract. Change orders to A/E contracts may be referred to as "modifications".

"Chief Procurement Officer" or "CPO" – The Executive Director of the Capital

Development Board, who shall review and approve procurements subject to the

Act to confirm compliance with this Part and Section 1-35 of the Code [30 ILCS

500/1-35].

"Code" − The Illinois Procurement Code [30 ILCS 500].

"Construction" – Services directly related to renovation, restoration,

rehabilitation, rebuilding, or demolition at the Quincy Veterans' Home.

Construction does not include the routine operation, routine repair, or routine

maintenance of existing structures, buildings, or real property.

"Construction Manager" or "CM" − Any individual, sole proprietorship, firm,

partnership, corporation, or other legal entity providing construction management

services for CDB.

"Construction-Related Services" – Services concerning construction or potential

construction at the Quincy Veterans' Home, including construction design, layout,

inspection, support, feasibility or location study, research, development, planning,

or other investigative study.

"Contract" − A written agreement between CDB and a vendor comprised of such

documents as set forth in each individual agreement, including change orders, and

setting forth the obligations of the parties for the performance of the contract.

"Design-bid-build" – The traditional delivery system used on public projects in

this State that incorporates the Architectural, Engineering, and Land Surveying

Qualifications Based Selection Act and the principles of competitive selection in

the Illinois Procurement Code, subject to the provisions of Section 1-35 of the

Code. [330 ILCS 21/10].

"Design-Build" – A delivery system that provides responsibility within a single

contract for the furnishing of architecture, engineering, land surveying and

related services as required, and the labor, materials, equipment, and other

construction services for the project. [330 ILCS 21/10].


18



"Executive Director" – The Director of the Capital Development Board.

"Germane" − In relationship to the modification, alteration or amendment of the

terms of a contract by change order, the term "germane" means a change that is

related to the original terms of the contract and that is not so substantial a

departure from the original as to constitute a new contract.

"IDVA" – The Illinois Department of Veterans' Affairs.

"Prequalification" – The status granted by CDB to responsible vendors that

permits them to make submittals, offers, or bids on CDB projects; or be awarded a

CDB contract.

"Responsible" − The capability, integrity and reliability of a vendor, in all

respects that will assure good faith performance, to undertake and complete fully

the requirements of a contract.

"Single Prime" – The design-bid-build procurement delivery method for a

construction project procuring two or more subdivisions of work under a single

contract.

"Single Trade" − The design-bid-build procurement delivery method for a

construction project procuring one subdivision of work under a single contract.

"Specifications" − The contractual body of directions, provisions, and

requirements for performance of prescribed work. Specifications may include the

Standard Documents for Construction for general application and repetitive use,

as well as specifications applicable to a specific project.

"Statement of Qualifications" – The information supplied by an A/E or

construction manager that cites the specific experience and expertise that may

qualify the A/E or construction manager to provide the services requested.

"Subcontract" – A contract between a subcontractor and a vendor who has a

contract subject to the Act, pursuant to which the subcontractor assumes

obligation for performing specific work under the contract. For purposes of this

Part, a subcontract does not include purchases of goods, materials, or supplies that

are necessary for the performance of a contract by a vendor who has a contract

subject to the Act.


18



"Subcontractor" – A person or entity that enters into a contractual agreement with

a total value of $50,000 or more with a vendor who has a contract subject to the

Act pursuant to which the person or entity agrees to perform specific work under

the contract. For purposes of this Part, a person or entity is not a subcontractor if

that person or entity only provides goods, materials, or supplies that are necessary

for the performance of a contract by a vendor who has a contract subject to the

Act.

Section 930.120 Procurement Authority

EMERGENCY

The Executive Director is established as the Chief Procurement Officer for procurements of

construction and construction-related services listed in Subpart B of this Part, subject to the Act

and Section 1-35 of the Code [30 ILCS 500/1-35], and committed by law to the jurisdiction or

responsibility of CDB. The Executive Director may appoint a designee to carry out any or all of

the procurement functions.

Section 930.130 Procurement Code

EMERGENCY

a) The Procurement Code shall not apply to procurements subject to the Act, except

substantial compliance with the following sections of the Procurement Code is

required:

1) Section 20-160: Business Entities; Certification; Registration with the

State Board of Elections.

2) Section 25-60: Prevailing Wage Requirements.

3) Section 30-22: Construction Contracts; Responsible Bidder Requirements.

4) Section 50-5: Bribery.

5) Section 50-10: Felons.

6) Section 50-10.5: Prohibited Bidders and Contractors.

7) Section 50-12: Collection and Remittance of Illinois Use Tax.


18



8) Section 50-13: Conflicts of Interest.

9) Section 50-15: Negotiations.

10) Section 50-20: Exemptions.

11) Section 50-21: Bond Issuances.

12) Section 50-35: Financial Disclosure and Potential Conflicts of Interest.

Substantial compliance with this section shall only apply to contracts and

subcontracts over $100,000.

13) Section 50-36: Disclosure of Business in Iran.

14) Section 50-37: Prohibition of Political Contributions.

15) Section 50-38: Lobbying Restrictions.

16) Section 50-50: Insider Information.

b) The CPO shall determine substantial compliance with the Code sections listed in

paragraph a) above.

c) General conditions for procurements shall be set forth in in this Part and in CDB's

contract documents, which include the Standard Documents for Construction if

applicable as determined by CDB.

SUBPART B: PROCUREMENT METHODS AND PROCEDURES

FOR CONSTRUCTION AND CONSTRUCTION-RELATED SERVICES CONTRACTS

Section 930.200 Procurement Methods

EMERGENCY

CDB shall procure construction and construction-related services for contracts subject to the Act

using the selection method determined by the CPO to be the most appropriate to the

circumstances, as follows:

a) Design-Build Contracts.


18



b) Competitive Contracts.

c) Design Services Contracts.

d) Construction Management Services Contracts.

e) Emergency Contracts.

f) Small Purchase Contracts.

g) Sole Source and Limited Source Contracts.

h) Professional Services Contracts.

i) Contracts with Illinois Correctional Industries.

j) Other procurement delivery methods determined by the CPO to be in the best

interest of the State.

Section 930.205 Procurement Procedures for Design-Build Contracts

EMERGENCY

Procurement of construction and construction-related services pursuant to the design-build

delivery method shall be in accordance with the Act [330 ILCS 21] and CDB's Rules on the

Selection of Design-Build Entities (44 Ill. Adm. Code 1030), with the following amendments to

CDB's Rules on the Selection of Design-Build Entities:

a) For purposes of this Part, Section 1030.160(b)(2) regarding public members on

the selection committee shall not be followed. Instead, public members on the

selection committee shall be comprised of one public member that is a resident of

the Quincy Veterans' Home and one public member that is a resident of the City

of Quincy.

b) For purposes of this Part, references to the "Act" in CDB's Rules on the Selection

of Design-Build Entities shall refer to the Quincy Veterans' Home Rehabilitation

and Rebuilding Act.

Section 930.210 Procurement Procedures for Competitive Bid Contracts


18



EMERGENCY

a) Procurement of construction and construction-related services pursuant to the

design-bid-build procurement method shall be limited to single prime or single

trade contracts. Competitive bid contracts may also include direct purchase

contracts. Solicitations for bids shall be in conformance with the rules of CDB

and with accepted business practices. Contracts shall be awarded in accordance

with those authorities and with the guidelines set forth in Standard Documents for

Construction unless otherwise specified in the advertisement for bids published in

the Procurement Bulletin, the project specifications, or as authorized by law.

b) For single prime contracts, the following procedures shall apply:

1) the bid of the successful low bidder shall identify the name of the

subcontractor, if any, and the bid proposal costs for each of the

subdivisions of work set forth in the project specifications;

2) the contract entered into with the successful bidder shall provide that no

identified subcontractor may be terminated without the written consent of

the CDB; and

3) the contract shall comply with the disadvantaged business practices of the

Business Enterprise for Minorities, Women, and Persons with Disabilities

Act [30 ILCS 575] and the equal employment practices of Section 2-105

of the Illinois Human Rights Act [775 ILCS 5/2-105].

c) For purposes of this Part, a direct purchase contract is a contract between CDB

and a supplier or manufacturer for materials or equipment necessary for a CDB

project at the Quincy Veterans' Home.

Section 930.215 Procurement Procedures for Design Services Contracts

EMERGENCY

Solicitation for procurement of services of architects/engineers, or related professionals, shall be

in accordance with the Architectural, Engineering, and Land Surveying Qualifications Based

Selection Act [30 ILCS 535] and CDB's Rules on the Selection of Architects/Engineers (44 Ill.

Adm. Code 1000) with the following amendment to CDB's Rules on the Selection of

Architects/Engineers:


18



For purposes of this Part, Section 1000.160 regarding interviews shall not apply. Instead,

the following shall apply:

CDB requires the selection committee to conduct interviews when the estimated

value of the basic services fee exceeds $300,000. The Executive Director may

choose to conduct interviews for smaller projects under special circumstances. A

minimum of three firms will be interviewed, unless fewer than three qualified

firms submit statements of qualifications for a specific project. The Executive

Director may exempt any contract from requiring interviews.

Section 930.220 Procurement Procedures for Construction Management Services

Contracts

EMERGENCY

a) Construction management services may include, but are not limited to, the

following:

1) services provided in the planning and pre-construction phases of a

construction project including, but not limited to, consulting with,

advising, assisting, and making recommendations to CDB and the

architect, engineer, or licensed land surveyor on all aspects of planning for

project construction; reviewing all plans and specifications as they are

being developed and making recommendations with respect to

construction feasibility, availability of material and labor, time

requirements for procurement and construction, and projected costs;

making, reviewing, and refining budget estimates based on CDB's

program and other available information; soliciting the interest of capable

contractors and analyzing the bids received; and preparing and

maintaining a progress schedule during the design phase of the project and

preparation of a proposed construction schedule; and

2) services provided in the construction phase of the project including, but

not limited to, maintaining competent supervisory staff to coordinate and

provide general direction of the work and progress of the contractors on

the project; directing the work as it is being performed for general

conformance with working drawings and specifications; establishing

procedures for coordinating among CDB, the A/E, contractors, and the

construction manager with respect to all aspects of the project and

implementing those procedures; maintaining job site records and making


18



appropriate progress reports; implementing labor policy in conformance

with the requirements of the public owner; reviewing the safety and equal

opportunity programs of each contractor for conformance with the public

owner's policy and making recommendations; reviewing and processing

all applications for payment by involved contractors and material suppliers

in accordance with the terms of the contract; making recommendations

and processing requests for changes in the work and maintaining records

of change orders; scheduling and conducting job meetings to ensure

orderly progress of the work; developing and monitoring a project

progress schedule, coordinating and expediting the work of all contractors

and providing periodic status reports to the owner and the A/E; and

establishing and maintaining a cost control system and conducting

meetings to review costs.

b) Public notice. Whenever a project requiring construction management services is

proposed for IDVA, CDB shall provide no less than a 14 calendar day advance

notice published in a request for qualifications setting forth the projects and a

description of the services to be procured, unless a different timeframe for

providing advance notice is otherwise specified by CDB. Notice shall be

published in CDB's Procurement Bulletin. The request for qualifications shall

include a description of each project and shall also include the statement of

qualifications form to be completed for each project. The public notice shall state

the time and place for interested firms to submit a statement of qualifications.

When CDB establishes additional criteria for a special project under 44 Ill. Adm.

Code 990.140 (Prequalification of Construction Managers), the notice shall be

published at least 30 calendar days before the date the special prequalification

application or the statement of qualifications is due.

c) Submittal requirements. The statement of qualifications submittal shall include

the names of persons who will perform the services, including their project

assignment or duties, as well as a resume of the experience and expertise that

qualifies them to perform the assignment.

d) Selection Committee. The Executive Director shall appoint an agency employee

to serve as chair of a selection committee. The selection committee chairman

shall appoint a committee to recommend to the Executive Director and the Board

a list of CMs qualified to perform the required services. This committee may be

established for each selection and may be composed of standing members and

rotating members from CDB staff. In addition to the CDB staff members, a


18



representative from IDVA and one or more public members may be requested to

be members of the committee.

e) Preliminary evaluations. CDB may appoint staff members to perform a

preliminary evaluation (prescreening) to provide a preliminary ranking of the

CMs for the committee's consideration. This prescreening shall consider, among

others, the relevant project experience of the prospective CMs and the expertise

and experience of the firm and its staff to be assigned to the project if the firm is

selected.

f) Evaluation procedure.

1) The selection committee shall evaluate the CMs submitting statements of

qualifications, and the selection committee may consider, but shall not be

limited to, the following: ability of personnel; past record and experience;

performance data on file, determined by review of the CM Performance

Evaluations on previous CM projects, Performance Evaluations of the CM

firm on projects in which it participated as an A/E or contractor, and any

other related material; willingness to meet time requirements; location of

the project relative to the firm's place of business; the results of

preliminary evaluations performed by CDB staff; current workload of the

CM and their prior selections by CDB; references; interviews conducted

with the CMs; minority, women, and veteran participation; and any other

qualifications-based factors as CDB may determine in writing are

applicable. The selection committee may conduct discussions with and

require presentations by CMs deemed to be the most qualified regarding

their qualifications, approach to the project, and ability to furnish the

required services.

2) Before beginning review of the CM's statements of qualifications, the

committee shall prepare a table of the factors the CMs will be rated on and

the weight to be assigned to each factor. The table of factors, and the

scores of each reviewed submittal, will be kept on file for no less than two

years from the date of the selection.

3) In no case shall the Board, CDB, or the selection committee, prior to

selecting a CM for negotiation, seek formal or informal submission of

verbal or written estimates of costs or proposals in terms of dollars, hours


18



required, percentage of construction cost, or any other measure of

compensation.

g) Interviews. CDB requires the selection committee to conduct interviews when the

estimated value of the CM's basic services fee exceeds $300,000. The Executive

Director may choose to conduct interviews for smaller projects under special

circumstances. A minimum of three firms will be interviewed, unless fewer than

three qualified CMs submit statements of qualifications for a specific project.

The Executive Director may exempt any contract from requiring interviews.

h) Selection Procedure. On the basis of evaluations, discussions, and any

presentations, the selection committee shall select no less than 3 firms it

determines to be qualified to provide services for the project and rank them in

order of qualifications to provide services regarding the specific project. If fewer

than 3 firms submit statements of qualifications and the selection committee

determines that one or both of those firms are so qualified, the CDB may proceed

with the selection process. Board approval of these CMs shall be final and

binding.

i) Contract Negotiation.

1) The CDB shall prepare a written description of the scope of the proposed

services to be used as a basis for negotiations and shall negotiate a

contract with the highest ranked construction management firm at

compensation that CDB determines in writing to be fair and reasonable. In

making this decision, CDB shall take into account the estimated value,

scope, complexity, and nature of the services to be rendered. In no case

may CDB establish a payment formula designed to eliminate firms from

contention or restrict competition or negotiation of fees.

2) If CDB is unable to negotiate a satisfactory contract with the firm that is

highest ranked, negotiations with that firm shall be terminated. CDB shall

then begin negotiations with the firm that is next highest ranked. If CDB is

unable to negotiate a satisfactory contract with that firm, negotiations with

that firm shall be terminated. CDB shall then begin negotiations with the

firm that is next highest ranked.

3) If CDB is unable to negotiate a satisfactory contract with any of the

selected firms, CDB shall re-evaluate the construction management


18



services requested, including the estimated value, scope, complexity, and

fee requirements. The selection committee shall then compile a list of not

less than 3 prequalified firms, if available, and proceed in accordance with

the provisions of this Part.

j) Prohibited conduct. No construction management services contract may be

awarded by the Board on a negotiated basis as provided in this Part if the CM or

an entity that controls, is controlled by, or shares common ownership or control

with the CM (i) guarantees, warrants, or otherwise assumes financial

responsibility for the work of others on the project; (ii) provides CDB with a

guaranteed maximum price for the work of others on the project; or (iii) furnishes

or guarantees a performance or payment bond for other contractors on the project.

In any such case, the contract for construction management services must be let

by competitive bidding as in the case of contracts for construction work.

k) Procurement limitations.

1) A CM cannot participate in a selection process if it or a substantially

affiliated firm is under contract or in the process of contracting with CDB

for other goods or services required for the project and the CM's duties

will involve or relate to those goods or services.

2) A CM selected to provide construction management services, or a

substantially affiliated firm, may not bid on or otherwise be awarded a

construction contract for the project.

3) Notwithstanding the above, when it is determined in writing by the

Executive Director to be in the State's best interest, the CM may provide

or perform, directly or through unrelated contractors, basic services for

which reimbursement is provided in the general conditions of the CM

contract, or any other goods or services that do not conflict with or give

the appearance of conflicting with the CM's duties.

4) A firm is substantially affiliated if any one or more of the individuals with

more than 5% ownership interest and/or any officer or director of the CM

firm and/or any individual authorized to sign bids, proposals or contracts

for the CM firm owns or controls more than 5% of the affiliated firm

and/or holds any of the above positions with the affiliated firm, or the

affiliated firm shares more than 5% common ownership with the CM.


18



l) Publication of award. The names of selected firms and the respective projects

shall be published in CDB's Procurement Bulletin within 30 calendar days after

the selection and award.

Section 930.225 Procurement Procedures for Emergency Contracts

EMERGENCY

a) A contract may be procured without the use of any other method of procurement

prescribed in this Part when there exists a threat to public health or safety; when

an immediate contract is needed to repair State property in order to prevent or

minimize loss or damage to State property; to prevent or minimize serious

disruption in State services, including but not limited to, completion of a defaulted

contract; or to ensure the integrity of State records.

b) For purposes of determining whether an emergency exists to prevent or minimize

serious disruption in State services, State services include, but are not limited to,

all activities committed by law to the jurisdiction or responsibility of CDB and

IDVA, whether provided directly or indirectly by means of contract or

intergovernmental agreement.

c) CDB will employ such competition as is practical under the emergency

circumstances to abate the emergency situation. The use of existing contracts is

allowed.

d) A written description of the basis for the emergency and reasons for the selection

of the particular vendor shall be included in the contract file. CDB shall file a

statement with the Auditor General within 10 calendar days after the procurement

setting forth the amount expended, the name of the contractor involved, and the

conditions and circumstances requiring the emergency procurement. When only

an estimate of the cost is available within 10 calendar days after the procurement,

the actual cost shall be reported immediately after it is determined. CDB shall

post the statement in the CDB Procurement Bulletin.

Section 930.230 Procurement Procedures for Small Purchase Contracts

EMERGENCY

a) Individual contracts not exceeding the following thresholds may be made without

notice, competition or use of other method of procurement prescribed in this Part:


18



1) construction contracts not exceeding $100,000;

2) design services contracts with an estimated basic professional services fee

of less than $25,000;

3) construction management services contracts with an estimated basic

professional services fee of less than $100,000; and

4) any other contract determined by the CPO to be related to the renovation,

restoration, rehabilitation, or rebuilding of the Quincy Veterans' Home,

not exceeding $100,000.

b) Estimated needs shall not be artificially divided to constitute a small purchase.

Section 930.235 Procurement Procedures for Sole Source and Limited Source Contracts

EMERGENCY

a) A contract may be procured from a single source contractor without competition

or use of any other method of procurement prescribed in this Part when the single

source contract is the only economically feasible source capable of providing the

services, material or product to be supplied or if determined by the Chief

Procurement Officer to be in the best interest of the State.

b) Examples of circumstances that could necessitate sole source procurement

include, but are not limited, to:

1) when the compatibility of equipment, accessories, replacement parts, or

service is a primary consideration;

2) when trial use, testing or the development of new technology is the object

of the procurement;

3) when a sole supplier's item is to be procured for resale;

4) when utility services are to be procured;

5) when the surety providing a performance bond tenders a completion

contractor, acceptable to the CDB, to complete a defaulted contract;


18



6) when the item is copyrighted or patented and the item is not available

except from the holder of the copyright or patent or service area licensee;

7) when a utility or other private property is to be relocated or otherwise

adjusted by the owner to accommodate a CDB project; and

8) when determined by the CPO to be in the best interest of the State to

expedite procurement.

c) Change Orders. Change orders to existing contracts germane to the original

contract that are necessary or desirable to complete the project, and that can be

best accomplished by the contract holder, may be procured under this Section.

d) Bulletin. CDB shall publish notice of intent to contract on a sole source basis in

the CDB Procurement Bulletin at least 5 business days prior to execution of the

contract.

Section 930.240 Procurement Procedures for Professional Services Contracts

EMERGENCY

a) Application. The provisions of this Section apply to the procurement of

professional services not otherwise referenced in this Part necessary to support

CDB projects at the Quincy Veterans' Home. When such procurement does not

lend itself to the request for proposal selection process outlined in this Section, the

CPO may grant a waiver and direct CDB with the selection process to follow.

b) Public notice. Whenever a project requiring professional services is proposed,

CDB shall provide no less than 14 calendar days' advance notice published in a

request for proposals setting forth a description of the services to be procured,

unless a different timeframe for providing advance notice is otherwise specified

by CDB. The request for proposals shall include the type of services required, a

description of the work involved, an estimate of when and for how long the

services will be required, a date by which proposals for the performance of the

services shall be submitted, a statement of the minimum information that the

proposal shall contain, price (to be submitted in a separate envelope in the

proposal package and not mentioned elsewhere in the proposal package), the

factors to be used in the evaluation and selection process and their relative

importance, and a plan for post-performance review to be conducted by CDB


18



after completion of services and before final payment and made part of the

procurement file.

c) Evaluation. Proposals shall be evaluated only on the basis of evaluation factors

stated in the request for proposals. Price will not be evaluated until ranking of all

proposals and identification of the most qualified vendor. The relative importance

of the evaluation factors will vary according to the type of services being

procured. The minimum factors are:

1) the plan for performing the required services;

2) ability to perform the services as reflected by technical training and

education, general experience, specific experience in providing the

required services, and the qualifications and abilities of personnel

proposed to be assigned to perform the services;

3) the personnel, equipment, and facilities to perform the services currently

available or demonstrated to be made available at the time of contracting;

and

4) a record of past performance of similar work.

d) Handling of Proposals.

1) Proposals and modifications shall be submitted to CDB and shall be

opened publicly at the time, date and place designated in the request for

proposals.

2) Opening shall be witnessed by a State witness or by any other person

present, but the person opening proposals shall not serve as witness. A

record shall be prepared that shall include the name of each offeror and a

description sufficient to identify the supply or service item offered. The

record of proposals shall be open to public inspection after award of the

contract.

3) Proposals and modifications shall be opened in a manner designed to

avoid disclosing contents to competitors. Only State personnel and

contractual agents authorized by CDB may review the proposals prior to

award.


18



e) Discussions.

1) Discussions Permissible. CDB may conduct discussions with any offeror

to:

A) determine in greater detail the offeror's qualifications; and

B) explore with the offeror the scope and nature of the required

services, the offeror's proposed method of performance, and the

relative utility of alternative methods of approach. The CPO may

allow changes to the proposal based on those discussions.

2) No Disclosure of Information. Discussions shall not disclose any

information derived from proposals submitted by other offerors, and the

CDB staff conducting the procurement shall not disclose any information

contained in any proposals outside of contractual agents, State agency

personnel or others specifically authorized by the CPO until after the

award of the proposed contract has been posted to CDB’s Procurement

Bulletin.

f) Selection of the Best Qualified Offerors. After conclusion of validation of

qualifications, evaluation and discussion, CDB shall rank the acceptable offerors

in the order of their respective qualifications.

g) Evaluation of Pricing Data. Pricing submitted for all acceptable proposals timely

submitted shall be opened and ranked.

1) If the low price is submitted by the most qualified vendor, the CPO may

award to that vendor.

2) If the price of the most qualified vendor is not low and if it does not

exceed $25,000, the CPO may award to that vendor.

3) If the price of the best qualified vendor exceeds $25,000, the CPO must

state why a vendor other than the low priced vendor was selected and that

determination shall be published in CDB's Procurement Bulletin.

h) Negotiation and Award of Contract.


18



1) General. CDB shall attempt to negotiate a contract with the best qualified

offeror for the required services at fair and reasonable compensation.

CDB, in consultation with the CPO, may, in the interest of efficiency,

negotiate with the next highest ranked vendor, while negotiating with the

best qualified vendor.

2) Elements of Negotiation. At a minimum, contract negotiations shall be

directed toward:

A) making certain that the offeror has a clear understanding of the

scope of the work, specifically, the essential requirements involved

in providing the required services;

B) determining that the offeror will make available the necessary

personnel and facilities to perform the services within the required

time; and

C) agreeing upon compensation that is fair and reasonable, taking into

account the estimated value of the required services and the scope,

complexity, and nature of those services.

3) Successful Negotiation of Contract with Best Qualified Offeror.

A) If compensation, contract requirements and contract documents

can be agreed upon with the best qualified offeror, the contract

shall be awarded to that offeror, unless the procurement is

canceled.

B) Compensation must be determined in writing to be fair and

reasonable. Fair and reasonable compensation shall be determined

by CDB, in consultation with the CPO, based on the circumstances

of the particular procurement, including but not limited to the

nature of the services needed, qualifications of the offerors,

consideration of range of prices received in the course of the

procurement, other available pricing information and CDB's

identified budget.

C) Contracts entered into under this Section shall provide:


18



i) the duration of the contract, with a schedule for delivery

when applicable;

ii) the method for charging and measuring cost (hourly, per

day, etc.);

iii) the rate of remuneration; and

iv) the maximum price.

4) Failure to Successfully Negotiate Contract with Best Qualified Offeror.

A) If compensation, contract requirements or contract documents

cannot be agreed upon with the best qualified offeror, a written

record stating the reasons shall be placed in the file. CDB, in

consultation with the CPO, shall advise such offeror of the

termination of negotiations.

B) Upon failure to successfully negotiate a contract with the best

qualified offeror, CDB, in consultation with the CPO, may enter

into negotiations with the next most qualified offeror.

i) Multiple Awards. CDB, in consultation with the CPO, may enter into

negotiations with the next most qualified vendor or vendors when CDB has a

need that requires multiple vendors under contract.

j) Publication of Award. The names of the selected vendors and the respective

projects shall be published in CDB's Procurement Bulletin within 30 calendar

days after the selection and award.

Section 930.245 Procurement Procedures for Contracts with Illinois Correctional

Industries

EMERGENCY

Procurements from Illinois Correctional Industries may utilize an annual master contract with

agreed-upon unit prices for construction services, against which sub-orders may be placed for

specific CDB projects. Specifications that require a vendor to obtain materials or services from

another source shall identify at least three sources for the material or services, unless the CPO


18



approves a specification with only one or two sources.

Section 930.250 Procurement Procedures for Other Procurement Delivery Methods

EMERGENCY

In addition to the procurement delivery methods provided in this Part, CDB may explore and

implement other procurement delivery methods recognized by the construction industry for CDB

projects at the Quincy Veterans' Home, subject to CPO approval, and when determined by the

CPO to be in the best interest of the State.

SUBPART C: GENERAL PROVISIONS APPLICABLE TO CONSTRUCTION

AND CONSTRUCTION-RELATED SERVICES PROCUREMENTS

Section 930.300 Procurement Bulletin

EMERGENCY

CDB is responsible for publishing a volume of the Illinois Procurement Bulletin. CDB's bulletin

is available electronically via the Internet (www.illinois.gov/cdb) and may be available in print.

CDB's Procurement Bulletin may include one part entitled "Bid Information Newsletter" for

construction contracts and another part entitled "Professional Services Bulletin" for

architect/engineer and construction management services.

Section 930.310 Agreement to Terms

EMERGENCY

By submitting a bid, offer, statement of qualifications, or any other response for the purpose of

entering into a contract with CDB, the vendor agrees to all terms and conditions of CDB's

Standard Documents for Construction, if applicable as determined by CDB, and all other

contract documents as identified by CDB. Accordingly, submittal of conditions or qualifying

statements on contract documents is unacceptable and cause for rejection of the vendor.

Section 930.320 Minority, Women, and Veteran Participation

EMERGENCY

CDB may establish goals for minority, women, and veteran work force participation and

minority and women business enterprise participation as permitted by law. In addition, CDB

may establish set-aside goals for qualified veteran-owned small businesses. CDB may establish

goals pursuant to this Section on projects determined by CDB to be appropriate. Compliance

with this Section shall be in accordance with CDB's Standard Documents for Construction.


18



Section 930.330 Prequalification

EMERGENCY

All vendors on projects pursuant to this Part, including identified subcontractors in projects

utilizing the single prime design-bid-build procurement method, shall be prequalified in

accordance with CDB's rules unless the CPO determines, in writing, that a vendor without

prequalification should be awarded a contract if it is in the best interests of the State.

Section 930.340 Protests

EMERGENCY

The procedures of this Section govern the resolution of protests received by CDB from an

interested party concerning a contract solicitation.

a) Interested Party

In order to be considered an interested party, the protester must be or have been

an actual bidder or offeror who demonstrates compliance in all respects with this

Part and the terms of the subject invitation for bids, request for proposals, or

request for qualifications.

b) Subject of the Protest

1) A protest may be filed regarding any phase of the solicitation process for a

particular contract.

2) The subject of the protest shall concern fraud, corruption or illegal acts

undermining the objectives and integrity of the procurement process.

3) Protest procedures of this Section do not apply to issues of

prequalification, suspension or debarment.

c) Filing of a Protest

1) All protests shall be in writing and filed with the Chief Procurement

Officer within 7 calendar days after the protester knows or should have

known of the facts giving rise to the protest. Protests filed after the 7

calendar day period will not be considered. In addition, protests that raise

issues of fraud, corruption or illegal acts affecting specifications, special


18



provisions, supplemental specifications and plans must be received by the

CPO no later than 14 calendar days before the date set for opening of bids.

2) The protest shall be contained in an envelope clearly labeled "Protest."

The written protest shall include as a minimum the following

requirements:

A) The name, address, and telephone number of the protester.

B) The identification of the procurement or solicitation that is the

subject of the protest.

C) All information establishing that the protester is an interested

party.

D) A detailed statement of the factual and legal grounds of the protest,

including all relevant documents and exhibits that demonstrate

fraud, corruption or illegal acts having the effect of undermining

the integrity of the procurement process.

E) All information establishing the timeliness of the protest.

F) The signature of the protester.

d) Stay of Action during Protest

When a protest has been timely filed and before an award has been made, CDB

shall make no award of the contract until the protest has been resolved, unless the

award of the contract without delay is necessary to protect the interests of the

State. When a protest has been filed after an award has been made, the protest

shall be denied.

e) Decision

1) A decision on a protest will be made as expeditiously as possible after

receiving all relevant information.

2) The protest will be sustained only if it is determined by the CPO that the

protest was filed by an interested party and conclusively demonstrates by

the preponderance of relevant information submitted that fraud, corruption


18



or illegal acts have occurred that undermine the integrity of the

procurement process.

3) If the protest is sustained, CDB reserves the right to cancel or revise the

solicitation, readvertise the solicitation, or award to the next low bidder.

4) The decision of the Chief Procurement Officer is final and conclusive.

Section 930.350 Contract Files

EMERGENCY

a) All written determinations required under this Part shall be placed in the contract

file maintained by the CPO.

b) Whenever a contract liability exceeding $20,000 is incurred by CDB for projects

pursuant to the Act, a copy of the contract or purchase order shall be filed with the

Comptroller within 30 calendar days thereafter. When a contract or purchase

order has not been filed within 30 calendar days of execution, CDB must file with

the Comptroller the contract or purchase order and an affidavit, signed by the

CPO, setting forth an explanation of why the contract liability was not filed within

30 calendar days of execution. A copy of this affidavit shall be filed with the

Auditor General.

c) No voucher shall be submitted to the Comptroller for a warrant to be drawn for

the payment of money from the State treasury or from other funds held by the

State Treasurer on account of any contract unless the contract is reduced to

writing before the services are performed and filed with the Comptroller. The

CPO may request an exception to this subsection by submitting a written

statement to the Comptroller and Treasurer setting forth the circumstances and

reasons why the contract could not be reduced to writing before the supplies were

received or services were performed. This Section shall not apply to emergency

purchases if notice of the emergency purchase is published in CDB's Procurement

Bulletin.

Section 930.360 Change Orders or Modifications

EMERGENCY

a) The Board has set staff approval levels for construction change orders or

modifications with Board approval required for amounts deemed significant


18



enough to be appropriate for Board-level approval of change orders or

modifications, when the CPO determines in writing that a change is germane to

the original contract.

b) Only work that is germane to the original contract shall be added by change order

or modification. Proposed change orders or modifications that are determined by

the CPO to not be germane to the original contract shall be procured in

accordance with CDB Rules and this Part.

c) All change orders and modifications shall be in writing and shall otherwise

conform to the requirements of the Standard Documents for Construction. Prior

to the execution of the actual change order or modification, changed work may

proceed if authorized in writing according to the approval levels authorized by the

Board, when so provided contractually.

d) For purposes of determining the scope of the change order and the value thereof

that is subject to the requirements of this Section, the Board will consider the total

net value of all added and deducted work functions related to the object of the

change order and the work of the contract to be affected.

e) Notice of approved change orders and modifications shall be reported in CDB's

Procurement Bulletin.

Section 930.370 Performance Evaluation

EMERGENCY

CDB shall evaluate the performance of each vendor upon completion of a contract, unless the

CPO determines an evaluation is not required. CDB reserves the right to evaluate a vendor

during a project, if determined to be warranted by CDB. Evaluations shall be made available to

the vendor and the vendor may submit a written response, with the evaluation and response

retained solely by CDB. The evaluation and response shall not be made available to any other

person or firm unless authorized by law. The evaluation shall be based on the terms identified in

the vendor's contract.

Section 930.380 Substantial Compliance with the Illinois Procurement Code

EMERGENCY

This Section provides additional requirements for the substantial compliance with the sections of

the Illinois Procurement Code listed in Section 930.130. This Section supplements the


18



requirements found in the Code and does not excuse substantial compliance with any of the Code

requirements.

a) Substantial Compliance with Code Section 20-160 (Business Entities;

Certification; Registration with the State Board of Elections) and Section 50-37

(Prohibition of Political Contributions).

1) These requirements generally apply to a vendor whose existing State

contracts have an aggregate value in excess of $50,000, whose aggregate

value of bids/proposals for State contracts exceeds $50,000, or whose

aggregate value of State contracts and bids/proposals exceeds $50,000,

calculated on a calendar-year basis.

2) On a calendar-year basis, each vendor or potential vendor must keep track

of the value of contracts and bids/proposals. Vendors must register with

the State Board of Elections when the vendor determines that the value of

the contracts and bids/proposals meets the threshold for registration.

3) Documentation of vendor compliance must be in the procurement file in

relation to any contract for which a vendor is required to register as set

forth in this subsection, unless the vendor certifies it is not required to

register.

A) For contract renewals and extensions, if the value of the renewal or

extension by itself, or in combination with the contract being

renewed/extended and other contracts and bids/proposals, exceeds

$50,000, the vendor must provide documentation of vendor

compliance upon request and make the appropriate contract

certification, if it has not already done so. The Registration

Certificate or other evidence of vendor compliance may be

provided by reference to and incorporation of the vendor's

prequalification by the CPO.

B) CDB shall identify in the solicitation whether the contract is

estimated to exceed $50,000 annually. Vendors submitting bids or

offers for master contracts estimated to exceed $50,000 annually

regardless of consumption are required to register with State Board

of Elections.


18



C) For indefinite quantity/estimated value contracts that are not

estimated to exceed $50,000 annually, a vendor who is otherwise

not required to register shall register with the State Board of

Elections when the maximum value of orders that may be placed

pursuant to an indefinite/estimated value contract, plus all other

contracts and bids/proposals, exceeds $50,000 annually. The

vendor shall register with the State Board of Elections within 10

business days after orders exceed $50,000.

D) For contract amendments, if the value of the amendment, by itself

or in combination with the contract being renewed plus other

contracts and bids/proposals exceeds $50,000 annually, the vendor

must provide the Registration Certificate or other evidence of

compliance upon request and make the appropriate contract

certification, if it has not already done so.

E) Any contracts mistakenly executed in violation of this Section

must be amended to include the contract certifications, and the

vendor must supply the Registration Certificate or other evidence

of compliance upon request. If any violation by the vendor is not

cured within 5 business days after receipt of notification of the

violation, the contract is voidable by the State without penalty.

F) Certification of the requirement to register with the State Board of

Elections, required by 30 ILCS 20-160(a), shall be included in or

added to each contract that must be filed with the State

Comptroller pursuant to Section 20-80 of the Code and those

written two-party contracts that need not be filed with the

Comptroller. CDB may require written confirmation of the

certification at any time.

b) Substantial Compliance with Code Section 50-13 (Conflicts of Interest).

1) These conflicts apply to the direct interests of specified State employees or

officeholders.

2) Office or Employment. It is unlawful for any person holding an elective

office in this State, holding a seat in the General Assembly, or appointed

to or employed in any of the offices or agencies of State government and


18



who receives compensation for such employment in excess of 60% of the

salary of the Governor of the State of Illinois, or who is an officer or

employee of the Capital Development Board or the Illinois Toll Highway

Authority, or who is the spouse or minor child of any such person, to have

or acquire any contract, or any direct pecuniary interest in the contract

therein, whether for stationery, printing, paper, or any services, materials,

or supplies, that will be wholly or partially satisfied by the payment of

funds appropriated by the General Assembly of the State of Illinois or in

any contract of the Capital Development Board or the Illinois Toll

Highway Authority. [30 ILCS 500/50-13(a)].

3) Financial Interests. It is unlawful for any firm, partnership, association,

or corporation, in which any person as described in subsection (a)(1) is

entitled to receive more than 7½% of the total distributable income or an

amount in excess of the salary of the Governor, to have or acquire any

such contract or direct pecuniary interest therein. [30 ILCS 500/50-

13(b)].

4) Combined Financial Interests. It is unlawful for any firm, partnership,

association or corporation, in which any person listed in subsection (a)(1)

together with his or her spouse or minor children is entitled to receive

more than 15%, in the aggregate, of the total distributable income or an

amount in excess of 2 times the salary of the Governor, to have or acquire

any such contract or direct pecuniary interest therein. [30 ILCS 500/50-

13(c)].

5) For the purpose of this Part, an individual has a direct pecuniary interest in

a contract when the individual is owed a payment or otherwise received a

direct financial benefit in conjunction with performance of a contract,

including finder’s fees and commission payments.

6) For the purpose of this Part, "distributable income" means the income of a

company after payment of all expenses, including employee salary and

bonuses, and retained earnings, which is distributed to those entitled to

receive a share of the income. In the case of a for-profit corporation,

distributable income means "dividends". When calculating entitlement to

distributable income the entitlement shall be determined at the end of the

company's most recent fiscal year.


18



7) This Section applies to those elected or appointed to an office of Illinois

State government. This Section does not apply to those elected to local

government offices, including school districts, nor does it apply to those

elected to Federal offices in this State.

c) Substantial Compliance with Code Section 50-15 (Negotiations).

1) It is unlawful for any person employed in or on a continual contractual

relationship with any of the offices or agencies of State government to

participate in contract negotiations on behalf of that office or agency with

any vendor, partnership, association or corporation with whom that

person has a contract for future employment or is negotiating concerning

possible future employment. [30 ILCS 500/50-15(a)].

2) An individual who performs services pursuant to a contract and who meets

the requirements of an "employee" as opposed to an "independent

contractor" is in a "continual contractual relationship" from the effective

date of the contract until such time as the contract is terminated.

3) An individual who performs services pursuant to a contract and who meets

the requirements of an "independent contractor" as opposed to an

"employee" is in a "continual contractual relationship" if the contract term

is indefinite, is automatically renewed, is renewable at the individual's

option, is renewable unless the State must act to terminate, or has a

definite term of at least three months.

d) Substantial Compliance with Code Section 50-20 (Exemptions).

If an individual finds a conflict of interest under Section 50-13 of the Code with

the vendor selected for award or contract negotiations, he or she shall forward to

the CPO the name of the vendor and a description of the proposed contract and of

the potential conflict, and shall state why an exemption should be granted. The

CPO shall decide whether to disapprove the contract or request an exemption

from the Executive Ethics Commission in accordance with Section 50-20 of the

Code.

e) Substantial Compliance with Code Section 50-35 (Financial Disclosure and

Potential Conflicts of Interest).


18



1) In circumstances in which the vendor refuses or is unable to provide

disclosures, the CPO may authorize CDB to move forward with the

transaction. In granting that authorization, CDB must provide

documentation of efforts to obtain compliance.

2) New disclosures are required on contract renewals. New disclosures are

not required for contract amendments.

3) For purposes of:

A) Section 50-35(b) of the Code, "parent entity" means an entity that

owns 100% of the bidding or offering entity.

B) Section 50-35(b) of the Code, "distributive income" means the

income of a company after payment of all expenses, including

employee salaries and bonuses, and retained earnings that is

distributed to those entitled to receive a share of that income. In

the case of a for-profit corporation, distributable income means

dividends. When calculating entitlement to distributable income,

the entitlement shall be calculated at the end of the company's most

recent fiscal year or when distributed.

C) Section 50-35(b) of the Code, "subject to federal 10K reporting"

means subject to the reporting requirements of Section 13 or 15(d)

of the Securities Exchange Act of 1934. "10K disclosure" means a

report required under section 13 or 15(d) of the Securities

Exchange Act of 1934 [15 U.S.C. 78a et seq.].

D) Section 50-35(b)(1) of the Code, "contractual employment of

services" means any contract to provide services to the State,

whether as independent contractor or employee, that is by and

between the State and the named individual.

4) 10K Disclosures

A) Any vendor subject to federal 10K reporting requirements may

submit its 10K to CDB in satisfaction of the disclosure requirement

of Section 50-35(b) of the Code. The vendor may be required to

identify the specific sections or parts in the 10K disclosure


18



containing information, if any, pertaining to those who have an

ownership interest or an interest in the distributive income of the

vendor or its parent, or other information that the vendor knows or

reasonably should know identifies a potential conflict of interest

with the State. If the financial interest or conflict of interest

information requested by the State is not in the 10K, or in a

document that may be submitted to the SEC in conjunction with, or

in lieu of, the 10K, then that additional documentation shall be

provided.

B) 10K disclosures are available for public review. Any potential

conflict of interest identified by the public and brought to the

attention of CDB, or the CPO, shall be investigated.

C) In circumstances in which a vendor may submit a 10K disclosure

in lieu of the specific disclosure requirements of the Code, the

CPO may consider information identified by the vendor in the 10K

disclosure and any information disclosed pursuant to public review

of the 10K disclosure in determining whether a potential conflict of

interest exists.

5) When an alleged conflict of interest or violation of the Code is identified,

it shall be reviewed by the CPO, who must determine whether the

contract, subcontract, bid, offer or proposal should be awarded. Prior to

making a final determination, the potential conflict shall be submitted to

PPB for review in accordance with Section 50-35(d) of the Code. If PPB

recommends to allow the contract or subcontract, the CPO may award the

contract. If the PPB recommends the contract, bid or offer be voided, then

the CPO may determine to award the contract, considering whether the

best interest of the State of Illinois will be served. Upon such

determination, the EEC shall hold a public hearing. After the public

hearing, the CPO may award the contract. The CPO may, at any juncture,

determine to void the contract or award if to do so is determined to be in

the best interest of the State. All written determinations and any

documents relied upon or made part of any public hearing shall become a

publicly available part of the procurement file.

f) Substantial Compliance with Code Section 50-36 (Disclosure of Business in Iran).


18



A period not to exceed 5 business days may be granted by the CPO to cure a

failure to provide the disclosures required under this section.

g) Voidable Contracts

1) If any contract or amendment thereto is entered into or purchase or

expenditure of funds is made at any time in violation of this Part or any

law, the contract or amendment thereto may be declared void by the CPO

or may be ratified and affirmed, provided the CPO determines that

ratification is in the best interests of the State. If the contract is ratified

and affirmed, it shall be without prejudice to the State's rights to any

appropriate damages.

2) If, during the term of a contract, the CPO determines that the contractor is

in violation of Section 50-10.5 of the Code [30 ILCS 500/50-10.5], the

CPO shall declare the contract void.

3) If, during the term of a contract, CDB determines that the contractor no

longer qualifies to enter into State contracts by reason of Sections 50-5,

50-10, 50-12, or 50-37 of the Code [30 ILCS 500/50-5, 50-10, 50-12, 50-

37], the CPO may declare the contract void if it determines that voiding

the contract is in the best interests of the State.

4) If, during the term of a contract, the CPO determines that a subcontractor

no longer qualifies to enter into State contract by reason of Sections 50-5,

50-10, 50-10.5, or 50-12 of the Code [30 ILCS 500/50-5, 50-10, 50-10.5,

50-12], the CPO may declare the related contract void if it determines that

voiding the contract is in the best interests of the State. However, the

related contract shall not be declared void unless the contractor refuses to

terminate the subcontract upon CDB's request after a finding that the

subcontractor no longer qualifies to enter into State contracts by reason of

one of the Sections listed in this subsection.


18


NOTICE OF EMERGENCY AMENDMENT



3) Section Number: Emergency Action:

146.910 Amendment

4) Statutory Authority: Section 12-13 of the Illinois Public Aid Code [305 ILCS 5/12-13]


6) If this emergency rule is to expire before the end of the 150-day period, please specify the

date on which it is to expire: Upon adoption of the proposed general rulemaking.


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

file in the Agency's principal office and is available for public inspection.

9) Reason for Emergency: PA 100-587 increases the reimbursement rates for facilities

licensed under Specialized Mental Health Rehabilitation Act of 2013 by 4% and requires

the Department to adopt rules, including emergency rules to implement this rate increase.

The General Assembly deems the adoption of emergency rules implementing this rate

increase necessary for the public interest, safety, and welfare.

10) Complete Description of the Subjects and Issues Involved: This amendment implements

PA 100-587 by increasing the reimbursement rate under the Medical Assistance Program

for facilities licensed under Specialized Mental Health Rehabilitation Act of 2013 by 4%.




12) Statement of Statewide Policy Objective: This emergency rulemaking does not affect

units of local government.

13) Information and questions regarding this emergency rule shall be directed to:


18



Christopher Gange

Acting General Counsel

Illinois Department of Healthcare and Family Services

201 South Grand Avenue E., 3rd Floor


[email protected]

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


18



TITLE 89: SOCIAL SERVICES

CHAPTER I: DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES

SUBCHAPTER d: MEDICAL PROGRAMS

PART 146

SPECIALIZED HEALTH CARE DELIVERY SYSTEMS

SUBPART A: AMBULATORY SURGICAL TREATMENT CENTERS

Section


146.105 Definitions



146.125 Covered Ambulatory Surgical Treatment Center Services


SUBPART B: SUPPORTIVE LIVING FACILITIES

Section


146.205 Definitions


146.215 SLF Participation Requirements



146.230 Services

146.235 Staffing

146.240 Resident Contract



146.255 Discharge

146.260 Grievance Procedure

146.265 Records and Reporting Requirements

146.270 Quality Assurance Plan

146.275 Monitoring

146.280 Non-Compliance Action

146.285 Voluntary Surrender of Certification

146.290 Geographic Groups


18



146.295 Emergency Contingency Plan

146.300 Waivers

146.305 Reporting of Suspected Abuse, Neglect and Financial Exploitation

146.310 Facility Management of Resident Funds

SUBPART C: STATE HEMOPHILIA PROGRAM

Section

146.400 Definitions

146.410 Patient Eligibility

146.420 Hemophilia Treatment Centers

146.430 Comprehensive Care Evaluation

146.440 Home Transfusion Arrangements

146.450 Obligations of the Department

SUBPART D: CHILDREN'S COMMUNITY-BASED HEALTH CARE CENTERS

Section


146.510 Definitions



146.540 Covered Children's Community-Based Health Care Center Services


146.560 Individuals Eligible for Services Provided in a Children's Community-Based

Health Care Center

146.570 Prior and Post Approval of Services

SUBPART E: SUPPORTIVE LIVING FACILITIES WITH DEMENTIA CARE UNITS

Section





146.640 Services


146.660 Staffing



18



146.680 Monitoring

146.690 Reporting Requirements


146.710 Discharge

SUBPART F: BIRTH CENTERS

Section



146.820 Record Requirements

146.830 Covered Birth Center Services

146.840 Reimbursement of Birth Center Services


Section

146.900 General Provisions

146.910 Reimbursement

EMERGENCY

AUTHORITY: Implementing and authorized by Articles III, IV, V, VI and Section 12-13 of the

Illinois Public Aid Code [305 ILCS 5/Arts. III, IV, V, VI and 12-13].

SOURCE: Old Part repealed at 14 Ill. Reg. 13800, effective August 15, 1990; new Part adopted

at 20 Ill. Reg. 4419, effective February 29, 1996; emergency amendment at 21 Ill. Reg. 13875,

effective October 1, 1997, for a maximum of 150 days; amended at 22 Ill. Reg. 4430, effective

February 27, 1998; emergency amendment at 22 Ill. Reg. 13146, effective July 1, 1998, for a

maximum of 150 days; amended at 22 Ill. Reg. 19914, effective October 30, 1998; amended at


July 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 13663, effective November 1,

1999; amended at 24 Ill. Reg. 8353, effective June 1, 2000; emergency amendment at 26 Ill. Reg.

14882, effective October 1, 2002, for a maximum of 150 days; amended at 27 Ill. Reg. 2176,

effective February 1, 2003; emergency amendment at 27 Ill. Reg. 10854, effective July 1, 2003,

for a maximum of 150 days; amended at 27 Ill. Reg. 18671, effective November 26, 2003;

emergency amendment at 28 Ill. Reg. 12218, effective August 11, 2004, for a maximum of 150

days; emergency amendment at 28 Ill. Reg. 14214, effective October 18, 2004, for a maximum

of 150 days; amended at 29 Ill. Reg. 852, effective January 1, 2005; emergency amendment at 29

Ill. Reg. 2014, effective January 21, 2005, for a maximum of 150 days; amended at 29 Ill. Reg.


18



4360, effective March 7, 2005; expedited correction at 29 Ill. Reg. 14127, effective March 7,




April 1, 2007, for a maximum of 150 days; amended at 31 Ill. Reg. 11681, effective August 1,

2007; amended at 33 Ill. Reg. 11803, effective August 1, 2009; emergency amendment at 36 Ill.

Reg. 6751, effective April 13, 2012, for a maximum of 150 days; amended at 36 Ill. Reg. 13885,

effective August 27, 2012; amended at 37 Ill. Reg. 17624, effective October 28, 2013; expedited

correction at 38 Ill. Reg. 4518, effective October 28, 2013; amended at 38 Ill. Reg. 13255,

effective June 11, 2014; amended at 38 Ill. Reg. 13893, effective June 23, 2014; amended at 38

Ill. Reg. 15152, effective July 2, 2014; emergency amendment at 38 Ill. Reg. 15713, effective

July 7, 2014, for a maximum of 150 days; amended at 38 Ill. Reg. 23768, effective December 2,

2014; emergency amendment at 39 Ill. Reg. 6945, effective May 1, 2015 through June 30, 2015;

emergency amendment at 42 Ill. Reg. 13733, effective July 2, 2018, for a maximum of 150 days;

emergency amendment to emergency rule at 42 Ill. Reg. 16311, effective August 13, 2018, for

the remainder of the 150 days; amended at 42 Ill. Reg. 16731, effective August 28, 2018;

emergency amendment at 42 Ill. Reg. 17935, effective September 24, 2018, for a maximum of

150 days.


Section 146.910 Reimbursement

EMERGENCY

a) Facilities licensed under Specialized Mental Health Rehabilitation Act of 2013

shall be reimbursed at:

2) the rate in effect on June 30, 2014, less $7.07 for each facility previously

licensed under the Nursing Home Care Act on June 30, 2013;

2) the rate in effect on June 30, 2013 for each facility licensed under the

Specialized Mental Health Rehabilitation Act on June 30, 2013; or


on June 30, 2017 increased by 2.8%.

4) Effective for services provided on or after July 1, 2018, the rate in effect

on June 30, 2018, shall be increased by 4%.


18



b) Any adjustment in the support component or the capital component for facilities

licensed by the Department of Public Health under the Nursing Home Care Act

shall apply equally to facilities licensed by the Department of Public Health under

the Specialized Mental Health Rehabilitation Act of 2013.

c) Notwithstanding the provisions set forth in 89 Ill. Adm. Code 153, facilities

licensed under the Specialized Mental Health Rehabilitation Act of 2013 shall

receive a payment in the amount of $29.43 per licensed bed, per day, for the

period beginning June 1, 2014 and ending June 30, 2014.

(Source: Amended by emergency rulemaking at 42 Ill. Reg. 17935, effective September

24, 2018, for a maximum of 150 days)


18


NOTICE OF EMERGENCY AMENDMENTS

1) Heading of the Part: Health Care Employee Vaccination Code


3) Section Numbers: Emergency Actions:

956.10 Amendment

956.20 Amendment

956.30 Amendment

956.APPENDIX A Amendment

4) Statutory Authority: Sections 2310-195, 2310-610 and 2310-650 of the Department of

Public Health Powers and Duties Law of the Civil Administrative Code [20 ILCS

2310/2310-195, 2310-610 and 2310-650]


6) If this emergency rulemaking is to expire before the end of the 150-day period, please

specify the date on which they are to expire: This rulemaking will not expire before the

end of the 150-day period.


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


9) Reason for Emergency: These emergency rules are part of the Illinois Department of

Public Health's efforts to combat influenza. The emergency rules implement PA 100-

1029, which amended the Department of Public Health Powers and Duties Law to modify

the instances in which a health care employee may decline an influenza vaccine offer

made by a facility licensed by the Department. The offer program ensures that health

care personnel are offered the opportunity to be vaccinated against seasonal influenza and

other novel/pandemic influenza viruses as vaccines become available. The emergency

rules will provide health care settings the ability to implement vaccination programs

consistent with the statute for the 2018-19 influenza season. Seasonal influenza places a

great demand on the health care delivery system by making many people ill over a short

period of time, so that every available health care worker may be necessary to provide

care. Health care personnel who do not provide direct care must also be protected from

influenza, because their work is essential to the efficient and effective delivery of health


18



care. In addition, exposed personnel themselves can transmit the disease. Many

professional organizations, such as the Centers for Disease Control and Prevention

(CDC), the Joint Commission for the Accreditation of Health Care Organizations

(JCAHO), and the National Foundation for Infectious Diseases, endorse the universal,

annual vaccination of health care personnel. The purpose of these emergency rules is to

increase vaccination rates, to reduce the incidence of illness among health care personnel,

and to reduce transmission rates in the population of the State.

Section 5-45 of the Illinois Administrative Procedure Act [5 ILCS 100/5-45] defines

"emergency" as "the existence of any situation that any agency finds reasonably

constitutes a threat to the public interest, safety, or welfare." In addition, the emergency

must require adoption of a rule upon fewer days than is required by the regular

rulemaking process. The situation that the Department faces in regard to influenza

vaccination of health care personnel meets these criteria. The prospect of thousands of

health care personnel becoming infected with influenza poses a threat to the public

interest, safety, and welfare, in regard to both their own health and the health of the

population of the State whose care is entrusted to them. In addition, health care

personnel who have been exposed to influenza in a work environment can expose others

outside of that environment with whom they come in contact. Voluntary vaccination of

health care personnel is an important step in controlling the spread of influenza and

protecting the health of the population. Using the regular rulemaking process to adopt

these rules would preclude their effectiveness at the time when they are most needed,

which is during the influenza season. Health care personnel need to be vaccinated before

they are called upon to care for individuals who have influenza. Adoption of these

emergency rules will help to fulfill the Department's goal of taking proactive steps to

prevent the spread of disease. The Department is also publishing identical proposed

rules, which were approved by the State Board of Health on September 13, 2018.

10) A Complete Description of the Subject and Issues: This rulemaking implements PA 100-

1029, signed August 22, 2018, effective July 1, 2018, which modified the instance in

which a health care employee may decline an offer of an influenza vaccine.


12) Statement of Statewide Policy Objective: This rulemaking will not create or expand a

State mandate.

13) Information and questions regarding this emergency rule shall be directed to:


18



Erin Conley

Rules Coordinator



535 W. Jefferson St., 5th floor


217/782-2043


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


18



TITLE 77: PUBLIC HEALTH

CHAPTER I: DEPARTMENT OF PUBLIC HEALTH

SUBCHAPTER u: MISCELLANEOUS PROGRAMS AND SERVICES

PART 956

HEALTH CARE EMPLOYEE VACCINATION CODE

Section

956.10 Definitions

EMERGENCY

956.20 Referenced Materials

EMERGENCY

956.30 Influenza Vaccination

EMERGENCY

956.APPENDIX A Sample Declination Form

EMERGENCY

AUTHORITY: Sections 2310-195, 2310-610 and 2310-650 of the Department of Public Health

Powers and Duties Law of the Civil Administrative Code [20 ILCS 2310/2310-195, 2310-610

and 2310-650].

SOURCE: Emergency rule adopted at 34 Ill. Reg. 996, effective December 29, 2009, for a

maximum of 150 days; adopted at 34 Ill. Reg. 7725, effective May 19, 2010; amended at 36 Ill.

Reg. 6656, effective April 16, 2012; emergency amendment at 42 Ill. Reg. 17942, effective

September 18, 2018, for a maximum of 150 days.


EMERGENCY

The following terms shall have the meaning ascribed to them whenever the term is used in this

Part:

Act – Sections 2310-195, 2310-610 and 2310-650 of the Department of Public

Health Power and Duties Law of the Civil Administrative Code [20 ILCS

2310/2310-195, 2310-610 and 2310-650].


18



Health care employee − All paid and unpaid persons working in health care

settings who have the potential for exposure to infectious materials, including

body substances, contaminated medical supplies and equipment, contaminated

environmental surfaces, or contaminated air. Health care employees include, but

are not limited to, physicians, nurses, nursing assistants, therapists, technicians,

emergency medical services employees, pharmacists, laboratory employees, and

persons not directly involved in patient care (e.g., clerical, dietary, housekeeping,

maintenance and volunteers) but potentially exposed to infectious agents that can

be transmitted to and from health care employees.

Health care setting –

A facility licensed under the Alternative Health Care Delivery Act;

An ambulatory surgical treatment center, as defined in the Ambulatory

Surgical Treatment Center Act;

An assisted living facility, a shared housing establishment, or a board and

care home, as defined in the Assisted Living and Shared Housing Act;

A community living facility, as defined in the Community Living

Facilities Licensing Act;

A life care facility, as defined in the Life Care Facilities Act;

A long-term care facility, as defined in the Nursing Home Care Act;

A long-term care facility, as defined in the ID/DD Community Care Act;

A long-term care facility, as defined in the MC/DD Act;

A specialized mental health rehabilitationlong-term care facility, as

defined in the Specialized Mental Health Rehabilitation Act of 2013;

An EMS System, as defined in the Emergency Medical Services (EMS)

Systems Act;


18



A freestanding emergency center, licensed under the Emergency Medical

Services (EMS) Systems Act;

A home health agency, home services agency or home nursing agency, as

defined in the Home Health, Home Services, and Home Nursing Agency

Licensing Act;

A hospice care program or voluntary hospice program, as defined in the

Hospice Program Licensing Act;

An end stage renal disease facility, as defined in the End Stage Renal

Disease Facility Act;

A supportive residence, as defined in the Supportive Residences Licensing

Act;

A hospital, as defined in the Hospital Licensing Act;

The University of Illinois Hospital, Chicago, as defined in the University

of Illinois Hospital Act.

Influenza − An acute infectious respiratory disease, caused by influenza viruses.

Medically contraindicated – that administration of an influenza vaccine to an

employee would likely be detrimental to the employee's health (Section 2310-650

of the Act).

Vaccination − The act or practice of vaccinating; inoculation with vaccine.



Section 956.20 Referenced Materials

EMERGENCY

The following Illinois statutes are referenced in this Part:

a) Alternative Health Care Delivery Act [210 ILCS 3]


18



b) Ambulatory Surgical Treatment Center Act [210 ILCS 5]

c) Assisted Living and Shared Housing Act [210 ILCS 9]

d) Community Living Facilities Licensing Act [210 ILCS 35]

e) Life Care Facilities Act [210 ILCS 40]

f) Nursing Home Care Act [210 ILCS 45]

g) Emergency Medical Services (EMS) Systems Act [210 ILCS 50]

h) Home Health, Home Services, and Home Nursing Agency Licensing Act [210

ILCS 55]

i) Hospice Program Licensing Act [210 ILCS 60]

j) End Stage Renal Disease Facility Act [210 ILCS 62]

jk) Supportive Residences Licensing Act [210 ILCS 65]

kl) Hospital Licensing Act [210 ILCS 85]

lm) University of Illinois Hospital Act [110 ILCS 330]

mn) ID/DD Community Care Act [210 ILCS 47]

no) Specialized Mental Health Rehabilitation Act [210 ILCS 48]

o) MC/DD Act [210 ILCS 46]

p) Department of Public Health Powers and Duties Law of the Civil Administrative

Code [20 ILCS 2310/2310-195, 2310-610 and 2310-650]




18



Section 956.30 Influenza Vaccination

EMERGENCY

EachBeginning with the 2010 to 2011 influenza season, each health care setting shall ensure that

all health care employees are provided education on influenza and are offered the opportunity to

receive seasonal, novel and pandemic influenza vaccine, in accordance with this Section, during

the influenza season (between September 1 and March 1 of each year), unless the vaccine is

unavailable (see subsection (de)).

a) Each health care setting shall notify all health care employees of the influenza

vaccination provisions of this Part and shall provide or arrange for vaccination of

all health care employees who accept the offer of vaccination. Each health care

setting shall provide all health care employees with education about the benefits

of influenza vaccine and potential consequences of influenza illness. Information

provided shall include the epidemiology, modes of transmission, diagnosis,

treatment and non-vaccine infection control strategies.

b) Each health care setting shall develop and implement a program that includes the

following:

1) A plan to offer seasonal, pandemic or any other influenza vaccine;

2) The time frame within which health care employees will be offered

vaccination; and

3) Any required documentation relating to the health care employee

vaccination requirement of this Part.

c) Declination of Vaccine

1) A health care employee may decline the offer of vaccination if:

A) the vaccine is medically contraindicated,

B) the vaccination is against the employee's religious belief, or

C) the employee has already been vaccinated.


18



1) Health care employees may decline to accept the offer of vaccination for

reasons including the following:

A) The vaccine is medically contraindicated, which means that

administration of influenza vaccine to that person would likely be

detrimental to the person's health;

B) Vaccination is against the person's religious beliefs;

C) The person has already been vaccinated; or

D) For any other reasons documented by the person as the basis of the

refusal.

2) General philosophical or moral reluctance to influenza vaccinations does

not provide basis for an exemption. (Section 2310-650 of the Act)

32) Health care employees who decline vaccination for any reason indicated in

subsection (c)(1) shall sign a statement declining vaccination and

certifying that he or she received education about the benefits of influenza

vaccine.

d) Unavailability of Vaccine. A health care setting shall not be required to offer

influenza vaccination when the vaccine is unavailable for purchase, shipment or

administration by a third party, or when complying with an order of the

Department that restricts the use of the vaccine. A health care setting shall offer

to provide or arrange for influenza vaccination for health care employees as soon

as the vaccine becomes available.

e) Documentation

1) Each health care setting shall maintain a system to track the offer of

vaccination to health care employees. The system shall include

documentation that each person either accepted the offer or declined the

offer by signing a declination statement pursuant to subsection (c)(2).

2) If a health care setting is unable to provide or arrange for influenza

vaccination for health care employees who wish to be vaccinated, the


18



reasons why the vaccination could not be provided or arranged for shall be

documented.

3) Individual declination statements shallshould be handled in a manner that

ensures individual confidentiality.

4) Documentation shall be maintained for at least three years.

f) Health care settings may choose to develop and implement more stringent

influenza vaccination policies, strategies or programs designed to improve health

care employee vaccination rates than those required by this Part and that are

consistent with existing law and regulation.




18



Section 956.APPENDIX A Sample Declination Form

EMERGENCY

1. _____ (Initial) I have read the "Influenza Vaccine Information Statement,

date XXXX". I have had an opportunity to ask questions, which were

answered to my satisfaction. I understand the benefits and risks of influenza

vaccine.

Print Name Department

I intend to be vaccinated.

2. _____ (Initial) I have already had an influenza vaccination this year.

Location where vaccinated Date vaccinated

3. I acknowledge that I am aware of the following facts:

• Influenza is a serious respiratory disease that kills, on average, 36,000

Americans every year.

• Influenza virus may be shed for up to 48 hours before symptoms begin,

allowing transmission to others.

• Up to 30% of people with influenza have no symptoms, allowing

transmission to others.

• Influenza virus changes often, making annual vaccination necessary.

Immunity following vaccination is strongest for 2 to 6 months.

• I understand that influenza vaccine cannot transmit influenza. It does not,

however, prevent all disease.

• I have declined to receive the influenza vaccine for the ______ season. I

acknowledge that influenza vaccination is recommended by the Centers

for Disease Control and Prevention (CDC) for all health care employees to

prevent infection from and transmission of influenza and its


18



complications, including death, to patients/residents/clients, my co-

workers, my family and my community.

4. I decline the offer of vaccination for the following reasons (please initial all

that apply):

My philosophical or religious beliefs prohibit vaccination.

I have a medical contraindication to receiving the vaccine.

Other reason

I do not wish to say why I decline.

5. Knowing the facts set forth above, I choose to decline vaccination at this

time. I may change my mind and accept vaccination later, if vaccine is available.

I have read and fully understand the information on this declination form.

Print name Department

Signature Date




18


NOTICE OF WITHDRAWAL OF PROPOSED AMENDMENT




146.130 Amendment

4) Date Notice of Proposed Amendment published in the Illinois Register: 42 Ill. Reg.

13413, July 13, 2018

5) Reason for the Withdrawal: The current text of the rule is correct, therefore the proposed

amendment is not needed.


18


NOTICE OF RECODIFICATION

1) Heading of the Part: Nurse Practice Act


3) Date of Administrative Code Division Review:

4) Headings and Section Numbers of the Part Being Recodified:

Section Numbers: Headings:

Subpart D Advance Practice Nurse

Section 400 Application for Licensure

5) Outline of the Section Numbers and Headings of the Part as Recodified:

Section Numbers: Headings:

Subpart D Advance Practice

Registered Nurse

Section 400 Application for Licensure

6) Conversion Table of Present and Recodified Parts:

Section Numbers: Headings: Section Numbers: Headings:


Nurse


Registered Nurse

Section 400 Application for

Licensure

Section 400 Application for

Licensure


18

JOINT COMMITTEE ON ADMINISTRATIVE RULES

ILLINOIS GENERAL ASSEMBLY

STATEMENT OF RECOMMENDATION TO PROPOSED RULEMAKING

GOVERNOR'S OFFICE OF MANAGEMENT AND BUDGET

Heading of the Part: Grant Accountability and Transparency Act

Code Citation: 44 Ill. Adm. Code 7000

Section Numbers: 7000.10 7000.95 7000.250 7000.370

7000.20 7000.100 7000.260 7000.400

7000.30 7000.110 7000.300 7000.410

7000.40 7000.120 7000.310 7000.420

7000.50 7000.200 7000.320 7000.430

7000.60 7000.210 7000.330 7000.440

7000.70 7000.220 7000.340 7000.450

7000.80 7000.230 7000.350

7000.90 7000.240 7000.360

Date Originally published in the Illinois Register: 10/6/17

41 Ill. Reg. 12265

At its meeting on September 18, 2018, the Joint Committee on Administrative Rules considered

the above-referenced rulemaking and recommended that with respect to the Governor's Office of

Management and Budget that GOMB be more timely in enacting statutorily required rules and

take care to not implement its policies prior to adoption of the underlying rule. Section 25 of the

Grant Accountability and Transparency Act [30 ILCS 708] requires that the rules for the second

tier of GATA implementation be adopted by 7/1/17.

The agency should respond to this Recommendation in writing within 90 days after receipt of

this Statement. Failure to respond will constitute refusal to accede to the Committee's

Recommendation. The agency's response will be placed on the JCAR agenda for further

consideration.


18

JOINT COMMITTEE ON ADMINISTRATIVE RULES

ILLINOIS GENERAL ASSEMBLY

SECOND NOTICES RECEIVED

The following second notices were received during the period of September 18, 2018 through

September 24, 2018. The following rulemakings are scheduled for the October 16th 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

11/4/18 Secretary of State, Issuance of Licenses (92 Ill.

Adm. Code 1030)

8/3/18

42 Ill. Reg.

14350

10/16/18


18

EXECUTIVE ORDERS

2018-10

EXECUTIVE ORDER REDUCING THE SIZE OF GOVERNMENT THROUGH THE

REVOCATION OF EXECUTIVE ORDERS

WHEREAS, the State of Illinois has created more than 600 authorities, boards, bureaus,

commissions, committees, councils, task forces, or other similar entities ("boards and

commissions") by statute or Executive Order; and

WHEREAS, many boards and commissions continue in name only, often serving no current

public purpose; and

WHEREAS, many boards and commissions have been inactive for five years or more; and

WHEREAS, many boards and commissions were created for a special or temporary purpose,

which they have fulfilled, and their continued existence is unnecessary, while others are

redundant with other units of government; and

WHEREAS, good governance requires clean-up of the programs, entities, and bodies tasked

with important governmental purposes to ensure transparency about the ongoing work of the

State and to increase the efficiency of the executive branch; and

WHEREAS, many boards and commissions that are already expired, dissolved, or abolished

continue to appear in State publications, including public-facing State websites and Legislative

Research Unit reports, and Illinois residents should be provided greater clarity about their

defunct status; and

WHEREAS, Section 11 of Article V of the Constitution of the State of Illinois authorizes the

Governor, by Executive Order, to reorganize executive agencies which are directly responsible to

him, which includes the abolition of boards and commissions;

THEREFORE, I, Bruce Rauner, Governor of Illinois, by virtue of the executive authority

vested in me by Section 8 and Section 11 of Article V of the Constitution of the State of Illinois,

do hereby order as follows:

I. DEFINITIONS

As used in this Executive Order:

"Abolished Entity" means an agency designated by Exhibit A of this Executive Order to be

abolished pursuant to Section II of this Executive Order.


18

EXECUTIVE ORDERS

"Boards and Commissions" means authorities, boards, bureaus, commissions, committees,

councils, task forces, and other similar entities created by statute or Executive Order and situated

in the executive branch.

II. REVOCATION

1. Effective immediately upon the filing of this Executive Order with the Secretary of State,

the Executive Orders set forth on Exhibit A are revoked and rescinded, and the boards

and commissions they authorize are abolished.

2. The rights, powers, duties, and functions vested by law in these entities by the Executive

Orders set forth on Exhibit A to this Executive Order, and all rights, powers, and duties

incidental to these provisions including funding mechanisms, are also abolished 30 days

after the taking effect of this Executive Order.

3. Upon the taking effect of this Executive Order, to the extent authorized by law and

required to facilitate the termination of the administration of an Abolished Entity, the

functions, duties, rights, responsibilities, and, to the extent they exist, books, records and

unexpended balances of appropriations or funds related to each Abolished Entity shall be

transferred to the Department of Central Management Services or an appropriate agency

designated by the Governor's Office. Such transfers shall be completed within 30 days of

the taking effect of this Executive Order.

4. The corresponding terms of members appointed to the Abolished Entities are also

terminated, and their appointed offices are subsequently abolished.

III. SAVINGS CLAUSE

1. This Executive Order shall not affect any act undertaken, ratified, or cancelled or any

right occurring or established or any action or proceeding commenced in an

administrative, civil, or criminal case before this Executive Order takes effect, but these

actions or proceedings may be prosecuted and continued by the Department of Central

Management Services or an appropriate agency designated by the Governor's Office, if

necessary.

2. This Executive Order shall not affect the legality of any rules in the Illinois

Administrative Code that are in force on the effective date of this Executive Order, which

rules have been duly adopted by a pertinent agency. Any rules, regulations, and other

agency actions affected by the reorganization shall continue in effect. If necessary,


18

EXECUTIVE ORDERS

however, the affected agencies shall propose, adopt, or repeal rules, rule amendments,

and rule recodifications as appropriate to effectuate this Executive Order. These rule

modifications shall coincide with, if applicable, the termination of the Abolished Entities'

affairs.

3. This Executive Order does not contravene, and shall not be construed to contravene, any

federal law, State statute, or collective bargaining agreement.

IV. CLARIFICATION AND CONFIRMATION OF ABOLISHED BOARDS

As a matter of both clarification and confirmation, the boards and commissions set forth on

Exhibit B have been abolished, either through dissolution upon completing their mandated tasks

or through revocation of their legal authority. All agencies under the jurisdiction of the Governor

shall monitor their public-facing State websites and future publications to ensure that, when an

agency mentions these and other inoperative boards and commissions, it identifies them as such.

V. FURTHER ACTION

The abolition of the entities set forth on Exhibit A does not foreclose further action by the

Governor to review additional boards and commissions for abolition and to effectuate that

abolition by Executive Order.

VI. PRIOR EXECUTIVE ORDERS

This Executive Order supersedes any contrary provision of any other prior Executive Order.

VII. SEVERABILITY CLAUSE

If any part of this Executive Order is found invalid by a court of competent jurisdiction, the

remaining provisions shall remain in full force and effect. The provisions of this Executive Order

are severable.

VIII. EFFECTIVE DATE

This Executive Order shall take effect immediately upon filing with the Secretary of State.

Issued by Governor: September 21, 2018

Filed with Secretary of State: September 21, 2018


18

EXECUTIVE ORDERS

EXHIBIT A

TO EXECUTIVE ORDER 2018-10

Abolished Entity Executive Orders from which the

Abolished Entity Functions Derive:

Broadband Deployment Council Executive Order Number 5 (2009)

Economic Recovery Commission Executive Order Numbers 13, 18 (2009)

Illinois Health Care Reform Implementation

Council Executive Order Number 12 (2010)

HIPAA Task Force Executive Order Number 19 (2003)

Illinois Reform Commission Executive Order Number 1 (2009)

Illinois Integrated Justice Information System

Implementation Board Executive Order Number 16 (2003)

New Americans Immigrant Policy Council Executive Order Number 10 (2005)

Illinois Parent Leadership Council Executive Order Number 10 (2006)

Illinois Pet Advocacy Task Force Student Advisory

Committee Executive Order Number 9 (2014)

Illinois Pet Advocacy Task Force Executive Order Number 9 (2014)

Safe Games Illinois Task Force on Violent and

Sexually Explicit Video Games Executive Order Number 14 (2004)

Social Innovation, Entrepreneurship, and Enterprise

Task Force Executive Order Number 5 (2011)

State Government Accountability Council Executive Order Number 7 (1999)

Taxpayer Action Board Executive Order Number 3 (2009)

Illinois Taxpayer's Sunshine Commission Executive Order Number 14 (2003)

Department of Transportation Technical Merit

Board Executive Order Number 10 (2014)


18

EXECUTIVE ORDERS

EXHIBIT B


Defunct Entity Executive Order from which the

Defunct Entity Functions Derive

Means by which the

Entity Became Defunct

Ebola Virus Task Force Executive Order Number 11 (2014)

Dissolved internally, eff.

6-30-15

Elgin-O'Hare West Bypass

Advisory Council Executive Order Number 13 (2010)

Expired internally on

delivery of final report,

eff. 6-30-11

Local Government

Consolidation and Unfunded

Mandates Task Force Executive Order Number 15 (2015)

Dissolved internally

upon submission of

report, eff. 12-17-15

Illinois Science and

Technology Advisory

Committee Executive Order Number 3 (1997)

Repealed by Executive

Order Number 12

(2000), eff. 6-21-00


18

EXECUTIVE ORDERS

2018-11

EXECUTIVE ORDER REDUCING THE SIZE OF GOVERNMENT THROUGH THE

ABOLITION OF INOPERATIVE BOARDS AND COMMISSIONS

WHEREAS, the State of Illinois has created more than 600 authorities, boards, bureaus,

commissions, committees, councils, task forces, or other similar entities ("boards and

commissions") by statute or Executive Order; and

WHEREAS, many boards and commissions continue in name only, often serving no current

public purpose; and

WHEREAS, many boards and commissions have been inactive for five years or more; and

WHEREAS, many boards and commissions were created for a special or temporary purpose,

which they have fulfilled, and their continued existence is unnecessary, while others are

redundant with other units of government; and

WHEREAS, good governance requires clean-up of the programs, entities, and bodies tasked

with important governmental purposes to ensure transparency about the ongoing work of the

State and to increase the efficiency of the executive branch; and

WHEREAS, many boards and commissions that are already expired, dissolved, or abolished

continue to appear in State publications, including public-facing State websites and Legislative

Research Unit reports, and Illinois residents should be provided greater clarity about their

defunct status; and

WHEREAS, Section 11 of Article V of the Constitution of the State of Illinois authorizes the

Governor, by Executive Order, to reorganize executive agencies which are directly responsible to

him, which includes the abolition of boards and commissions;


vested in me by Section 8 and Section 11 of Article V of the Constitution of the State of Illinois,

do hereby order as follows:

I. DEFINITIONS


"Abolished Entity" means an agency designated by Exhibit A of this Executive Order to be

abolished pursuant to Section II of this Executive Order.


18

EXECUTIVE ORDERS

"Boards and Commissions" means authorities, boards, bureaus, commissions, committees,

councils, task forces, and other similar entities created by statute or Executive Order and situated

in the executive branch.

II. ABOLITION OF ENTITIES AND TRANSFER OF RIGHTS

1. The entities set forth on Exhibit A are abolished upon the taking effect of this Executive

Order.

2. The rights, powers, duties, and functions vested by law in these entities by the statutes set

forth on Exhibit A to this Executive Order, and all rights, powers, and duties incidental to

these provisions including funding mechanisms, are also abolished 30 days after the

taking effect of this Executive Order.

3. Upon the taking effect of this Executive Order, to the extent authorized by law and

required to facilitate the termination of the administration of an Abolished Entity, the

functions, duties, rights, responsibilities, and, to the extent they exist, books, records and

unexpended balances of appropriations or funds related to each Abolished Entity shall be


designated by the Governor's Office. Such transfers shall be completed within 30 days of

the taking effect of this Executive Order.

4. The corresponding terms of members appointed to the Abolished Entities are also

terminated, and their appointed offices are subsequently abolished, upon the taking effect

of this Executive Order.

III. INCONSISTENT ACTS

From the effective date of this reorganization, and as long as such reorganization remains in

effect, the operation of any prior act of the General Assembly inconsistent with this

reorganization is suspended to the extent of the inconsistency.

IV. SAVINGS CLAUSE

1. The rights, powers, duties, and functions of each the entities abolished by this Executive

Order shall be vested in and shall continue to be exercised by the Department of Central

Management Services or an appropriate agency designated by the Governor's Office to

the extent authorized by law and necessary to effectuate the termination of affected

entities' administrative affairs. Each act done in exercise of such rights, powers, duties,


18

EXECUTIVE ORDERS

and functions shall have the same legal effect as if done by the Abolished Entity. Every

person shall be subject to the same obligations and duties and to the associated penalties,

if any, and shall have the same rights arising from the exercise of these obligations and

duties as if exercised subject to the Abolished Entity or the officers and employees of the

Abolished Entity.

2. This Executive Order shall not affect any act undertaken, ratified, or cancelled or any

right occurring or established or any action or proceeding commenced in an

administrative, civil, or criminal case before this Executive Order takes effect, but these

actions or proceedings may be prosecuted and continued by the Department of Central

Management Services or an appropriate agency designated by the Governor's Office, if

necessary.

3. This Executive Order shall not affect the legality of any rules in the Illinois

Administrative Code that are in force on the effective date of this Executive Order, which

rules have been duly adopted by a pertinent agency. Any rules, regulations, and other

agency actions affected by the reorganization shall continue in effect. If necessary,

however, the affected agencies shall propose, adopt, or repeal rules, rule amendments,

and rule recodifications as appropriate to effectuate this Executive Order. These rule

modifications shall coincide with, if applicable, the termination of the Abolished Entities'

affairs.

4. Whenever reports or notices are now required to be made or given or paper or documents

furnished or served by any person in regard to the functions of the abolished entities, the

same shall be made, given, furnished, or served in the same manner to the Department of

Central Management Services or an appropriate agency designated by the Governor's

Office.

5. Whenever any provision of any previous Executive Order or any Act provides for

membership on any board or commission by a representative or designee of the

Abolished Entity, the Director of the Department of Central Management Services or

agency head of an appropriate agency designated by the Governor shall designate the

same number of representatives or designees of that agency.

6. To the extent they exist, all personnel records, documents, books, correspondence,

papers, real and personal property, and other associated items in any way pertaining to

the rights, powers, duties, and functions of the abolished agencies shall be delivered and


designated by the Governor's Office, or the State Archives.


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EXECUTIVE ORDERS

7. To the extent they exist, any unexpended balances of any appropriations or funds, grants,

donations, or other moneys available for use by the abolished agencies shall be


designated by the Governor's Office and shall be expended for similar purposes for which

the appropriations, funds, grants, or other moneys were originally made or given to those

entities.

8. Although no Abolished Entity has any employees, to the extent they exist, any employees

of an Abolished Entity are transferred to the Department of Central Management Services

or to another appropriate agency as designated by Governor's Office. All employees

engaged in the performance of a function or in the administration of a law transferred by

this Executive Order are transferred to the Department of Central Management Services

or to another appropriate agency as designated by Governor's Office. The status and

rights of any transferred employee, the State, and its agencies under the Personnel Code

and applicable collective bargaining rights or under any pension, retirement, or annuity

plan shall not be affected by this reorganization.

9. This Executive Order does not contravene, and shall not be construed to contravene, any

federal law, State statute (except as provided in Section III), or collective bargaining

agreement.

V. CLARIFICATION AND CONFIRMATION OF ABOLISHED BOARDS

As a matter of both clarification and confirmation, the boards and commissions set forth on

Exhibit B have been abolished, either through dissolution upon completing their mandated tasks

or through repeal of their statutory authority. All agencies under the jurisdiction of the Governor

shall monitor their public-facing State websites and future publications to ensure that, when an

agency mentions these and other inoperative boards and commissions, it identifies them as such.

VI. FURTHER ACTION

The abolition of the entities set forth on Exhibit A does not foreclose further action by the

Governor to review additional boards and commissions for abolition and to effectuate that

abolition by Executive Order.

VII. PRIOR EXECUTIVE ORDERS


VIII. SEVERABILITY CLAUSE


18

EXECUTIVE ORDERS



are severable.

IX. FILINGS

This Executive Order shall be filed with the Secretary of State. A copy of this Executive Order

shall be delivered to the Secretary of the Senate and to the Clerk of the House of Representatives

and, for the purpose of preparing a revisory bill, to the Legislative Reference Bureau.

X. EFFECTIVE DATE

Provided that neither house of the General Assembly disapproves of this Executive Order by the

record vote of a majority of the members elected, this Executive Order shall take effect 60 days

after its delivery to the General Assembly.




18

EXECUTIVE ORDERS

EXHIBIT A


Abolished Entity Legal Authorities from which the

Abolished Entity Functions Derive:

Blindness Prevention Eye Care Advisory Committee 20 ILCS 2310/2310-612

Illinois Business Development Council 20 ILCS 605/605-300

Childhood Cancer Research Board 20 ILCS 2310/2310-349

Chronic Disease Nutrition and Outcomes Advisory

Commission 20 ILCS 2310/2310-77

Chronic Disease Prevention and Health Promotion Task

Force 20 ILCS 2310/2310-76

Clinical Laboratory and Blood Bank Advisory Board 210 ILCS 25/5-101, 102, 103

Commercialization Grant-in-aid Council 20 ILCS 605/605-360

Community Water Supply Testing Council 415 ILCS 5/17.7

Construction Employment Initiative Advisory Board 30 ILCS 577/35-20(d)

Digital Divide Elimination Advisory Committee 30 ILCS 780/5-30(e), (f)

Digital Divide Elimination Working Group 30 ILCS 780/5-30(f), (g)

Illinois Disabilities Services Advisory Committee 20 ILCS 2407/20, 53

Economic Data Task Force 820 ILCS 405/1900.2

Epilepsy Advisory Committee 410 ILCS 413/15, 20

Facilities Report Card Advisory Committee 210 ILCS 86/25(c)

Governor’s Council on Health and Physical Fitness 20 ILCS 3950/2, 2.1, 3, 8

Health Care Event Reporting Advisory Committee 410 ILCS 522/10-40, 10-45


18

EXECUTIVE ORDERS

Health Care Workplace Violence Prevention Task Force 405 ILCS 90/35(b)

Hearing Instrument Consumer Protection Board

225 ILCS 50/8, 13, 15, 16, 17, 18,

21, 22, 23, 27.1, 30

Hepatitis Advisory Council 20 ILCS 2310/2310-376(d)

HIV/AIDS Response Review Panel 410 ILCS 303/25

Illinois Board of Athletic Trainers 225 ILCS 5/5, 6, 19, 21, 22, 24

Informal Dispute Resolution Advisory Committee 20 ILCS 2310/2310-560

Innovations in Long-Term Care Quality Demonstration

Grants Commission 30 ILCS 772/20

Internet Privacy Task Force 5 ILCS 177/10, 15

Interstate Sex Offender Task Force 20 ILCS 4024/

Task Force on Inventorying Employment Restrictions 20 ILCS 5000/15

Advisory Board for the Maternal and Child Health

Block Grant Programs 410 ILCS 221/1, 5, 10, 15

Mental Health Services Strategic Planning Task Force 20 ILCS 1705/18.6(a)

Migrant Labor Camps Advisory Committee 210 ILCS 110/13A

Technical Advisory Committee on Poison Prevention

Packaging 430 ILCS 40/6

Radiation Protection Advisory Council 420 ILCS 40/14

Illinois Regenerative Medicine Institute Oversight

Committee 410 ILCS 110/10, 20, 25, 30, 35

Illinois Science and Technology Commission 20 ILCS 605/605-1000

Advisory Council on Spinal Cord and Head Injuries 410 ILCS 515/1, 3, 6


18

EXECUTIVE ORDERS

State Healthcare Workforce Council 20 ILCS 2325/1, 5, 10, 15, 20, 25

Steel Development Board 20 ILCS 605/605-425


18

EXECUTIVE ORDERS

EXHIBIT B


Defunct Entity Statutes from which the Defunct

Entity Functions Derive:

Means by which the

Entity Became Defunct

Abraham Lincoln Presidential

Library Advisory Board 20 ILCS 3405/30, 31, 32, 33, 34

Repealed by P.A. 100-

120, eff. 8-18-17.

Taskforce on the Advancement

of Materials Recycling 415 ILCS 20/7.4


933, eff. 1-27-17

Assisted Living and Shared

Housing Advisory Board 210 ILCS 9/125


975, eff. 7-2-10

Atherosclerosis Advisory

Committee 410 ILCS 3/10


692, eff. 7-1-14

Cervical Cancer Elimination

Task Force 20 ILCS 2310/2310-353


933, eff. 1-27-17

Community Care Program

Services Task Force 20 ILCS 105/4.02g

Dissolved internally

upon filing final report,

approved 1-25-18.

Repealed internally, eff.

3-1-18 (P.A. 100-23, eff.

7-6-17)

Advisory Council on

Compensatory Education 105 ILCS 5/14B-1


734, eff. 8-25-09

Task Force on the Conservation

and Quality of the Great Lakes 525 ILCS 25/10


692, eff. 7-1-14; 98-822,

eff. 8-1-14

Board of Currency Exchange

Advisors 205 ILCS 405/22.03


315, eff. 1-1-12

Disabled Veterans Procurement

Task Force 30 ILCS 500/45-57


260, eff. 8-5-11


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EXECUTIVE ORDERS

Illinois Discharged

Servicemember Task Force 20 ILCS 2805/20


7-1-2018 (P.A. 100-10,

eff. 6-30-17)

Diversity Program Commission 65 ILCS 120/5-42


576, eff. 7-15-2016

Drycleaner Environmental

Response Trust Fund Task

Force 415 ILCS 135/27


1-1-16 (P.A. 98-327, eff.

8-13-13)

East St. Louis Financial

Advisory Authority

65 ILCS 5/Art. 8 Div. 12

heading

Abolished 12/20/13 in

accordance with 65

ILCS 5/8-12-22(c)

Freedom Trail Commission 20 ILCS 3405/20


576, eff. 7-15-16.

Health Data Task Force 20 ILCS 2310/2310-367


933, eff. 1-27-17

Health Maintenance Advisory

Board 215 ILCS 125/2-2


63, eff. 8-11-17

Hearing Screening Advisory

Committee 410 ILCS 213/20


834, eff. 8-19-16

Hepatitis C Task Force 20 ILCS 2310/2310-675


1-1-17 (P.A. 99-429, eff.

1-1-16)

Home Repair and Construction

Task Force 20 ILCS 5050/


1-1-16 (P.A. 98-1030,

eff. 8-25-14)

Human Services 211

Collaboration Board 20 ILCS 3956/10

Abolished in accordance

with 20 ILCS 3956/90

Human Services 211

Collaboration Board Advisory

Panel 20 ILCS 3956/10.5

Abolished in accordance

with 20 ILCS 3956/90


18

EXECUTIVE ORDERS

Industrial Advisory Committee 20 ILCS 1130/5


728, eff. 7-1-08

Industrial Hygiene Examining

Board 225 ILCS 52/10, 35

Repealed by P.A. 98-78,

eff. 7-15-13

Innovation, Intervention, and

Restructuring Task Force 105 ILCS 5/2-3.64b


eff. 7-10-15

Low-Level Radioactive Waste

Task Force 420 ILCS 20/10.2, 10.3, 14


146, eff. 1-1-18

Motor Sports Promotion

Council Task Force 20 ILCS 605/605-970


933, eff. 1-27-17

Multiple Sclerosis Task Force 20 ILCS 2310/2310-680


1-1-16 (P.A. 98-756, eff.

7-16-14)

Commission on Police

Professionalism 50 ILCS 725/8


4-1-16 (P.A. 99-494, eff.

12-17-15)

Precious Metal Purchasers Task



6-30-15 (P.A. 98-934,

eff. 8-15-14)

Task Force on Radon-Resistant

Building Codes 420 ILCS 44/28


933, eff. 1-27-17

Senior Pharmaceutical

Assistance Review Committee 320 ILCS 50/15


eff. 5-3-13

Illinois Small Business and

Workforce Development Task



1-1-17 (P.A. 98-515, eff.

8-22-13)

State Stroke Task Force 20 ILCS 2310/2310-372


933, eff. 1-27-17


18

EXECUTIVE ORDERS

Thoroughbred Breeder’s

Program Task Force 230 ILCS 5/30(o)


692, eff. 7-1-14

Use and Occupation Tax

Reform Task Force 20 ILCS 2505/2505-755


1-1-17 (P.A. 98-1098,

eff. 8-26-14)

Utilization of Renewable

Energy on State-Owned

Properties Task Force 20 ILCS 687/6-6.5


1-1-17 (P.A. 99-155, eff.

7-28-15)

Wholesale Drug Distributor

Advisory Committee

5 ILCS 80/4.13; 225 ILCS

120/45


331, eff. 8-21-07;


689, eff. 10-29-07

David A. Wirsing Food Animal

Institute Board 20 ILCS 3931/15


116, eff. 8-15-17

Workforce Task Force for

Persons with Disabilities 405 ILCS 80/Art. X heading

Repealed by P.A 99-933,

eff. 1-27-17


18

EXECUTIVE ORDERS

2018-12

EXECUTIVE ORDER TO ELIMINATE NEPOTISM IN STATE GOVERNMENT

HIRING

WHEREAS, State employees are entrusted with protecting the public from violence and natural

disasters, ensuring the people of Illinois have safe roads and adequate public transportation,

providing social services, and other significant duties touching the lives of the people of Illinois;

and

WHEREAS, the State of Illinois Code of Personal Conduct requires all State officials and

employees to conduct themselves in an ethical, honest, and impartial manner and to never abuse

their public service for private gain; and

WHEREAS, according to a recent statewide public opinion poll, Illinois citizens rank number

one in distrust of their State government; and

WHEREAS, public trust historically has been diminished by a belief that the work of State

government is done by the backroom dealings of a few focused on personal gain, while the

people of Illinois are left wondering who has their interest in mind; and

WHEREAS, nepotism, which is the practice of promoting or hiring based on family

relationship, has no place in government, let alone in Illinois, and

WHEREAS, nepotism can open the door for corruption, favoritism, and conflicts of interest; and

WHEREAS, federal law already prohibits executive agency heads from the practice of nepotism

in the appointment, promotion, or recommendation of a relative to any agency or department

under their control; and

WHEREAS, more than half of states—including Indiana, Missouri, Iowa, Kentucky, and

Michigan—have anti-nepotism laws; Illinois lags behind; and

WHEREAS, good ethics is good economics, and statistics show that countries with lower levels

of political trust have more regulation and suffer more economic decline; and

WHEREAS, with the problem of outmigration growing in Illinois, it is imperative to strengthen

the ethical practices of State government to ensure residents of Illinois trust that the State is

promoting their interests; and


18

EXECUTIVE ORDERS

WHEREAS, eliminating the unethical practice of nepotism will help recapture the trust of the

people of Illinois, and increase integrity, accountability, and efficiency;


vested in me by Section 8 of Article V and Section 2 of Article XIII of the Constitution of the

State of Illinois, do hereby order as follows:

I. DEFINITIONS


"Chief Compliance Office" means the Chief Compliance Office within the Office of the

Governor created by Executive Order 2018-02.

"Commission" means the Executive Ethics Commission.

"CMS" means the Department of Central Management Services.

"Governmental Body" means the Executive, Legislative, or Judicial bodies of government,

meaning any body created by created or authorized by Articles IV, V, and VI of the Illinois

Constitution or under any body created by those Articles.

"Labor Organization" has the meaning defined in Section 3(i) of the Public Labor Relations Act,

5 ILCS 315/3.

"State Agency" means any agency under the jurisdiction of the Governor.

"State Agency Head" means any officer, employee, or other individual who receives merit

compensation and is exempt from the Personnel Code and from collective bargaining

agreements. State Agency Head includes appointments made by the Governor.

"Relative" means, with respect to State Agency Heads, employees, and officials , an individual

who is related to the State Agency Head, employee, or official as father, mother, son, daughter,

grandfather, grandmother, grandson, granddaughter, brother, sister, uncle, aunt, first cousin,

nephew, niece, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in-law,

grandson-in-law, granddaughter-in-law, brother-in-law, sister-in-law, stepfather, stepmother,

stepson, stepdaughter, stepbrother, stepsister, step-grandson, step-granddaughter, half-brother, or

half-sister.

II. PROHIBITION ON NEPOTISM IN STATE GOVERNMENT HIRING


18

EXECUTIVE ORDERS

1. A State Agency Head may not appoint, hire, promote, advance, or advocate for the

appointment, hiring, employment, promotion, or advancement, in or to a position in any

Governmental Body, any individual who is a Relative of the State Agency Head.

2. An individual may not be appointed, hired, promoted, or advanced in or to a civilian

position in any Governmental Body, if such appointment, employment, promotion, or

advancement has been advocated by a State Agency Head who is a Relative of the

individual.

3. An individual may not be placed in a Relative's direct line of supervision, may not

evaluate a Relative's job performance and may not recommend a salary increase for a

Relative. This section applies to all State employees and officials. No State Agency

employee or official may participate in an action relating to the discipline of a Relative,

including dismissal of a Relative, or conduct an investigation into alleged misconduct,

malfeasance, or violation of any law by a Relative. An individual may not serve on a

State Agency interview panel for any Relative.

4. State Agency employees and officials shall disclose to their supervisor and Ethics Officer

any anticipated or active participation by the employee or official in any matter affecting

a partnership, association, corporation, or other business entity if they, together with a

Relative or Relatives, are entitled to receive more than fifteen (15) percent, in the

aggregate, of the total distributable income of the partnership, association, corporation, or

other business entity.

5. All State Agency Heads required to file a supplemental statement of economic interest

pursuant to Executive Order 2015-09 shall, in conjunction with such filing each year, also

disclose the following information: the names and positions of all Relatives employed by

or serving as an elected officer or member of any Governmental Body. The Commission

shall prepare forms or amend existing forms to be used to report the information

described in this subsection and shall provide those forms or amended forms to each

individual required to report such information on or before April 1 of each year. Such

statement shall be filed by each individual with the Commission on or before May 1 of

each year. The Commission shall ensure that all statements filed pursuant to this

subsection are made readily available for public inspection. Each State Agency Head

required to submit a statement pursuant to this subsection shall notify the Commission, in

writing and without delay, of any material change in circumstances that might result in a

change to his or her disclosures filed pursuant to this Section.


18

EXECUTIVE ORDERS

6. All State Agency Heads who are not required to file a supplemental statement of

economic interest shall disclose to their Ethics Officer the names and positions of all

Relatives employed by or serving as an elected officer or member of any Governmental

Body, upon becoming a State Agency Head and on an ongoing basis within 30 days of

change in a Relative's job status that would require reporting. Ethics Officers shall

maintain a list with this information which shall be subject to the Freedom of Information

Act.

7. Within 30 days of the effective date of this Executive Order, CMS is directed to amend

the State Officials and Employees Code of Personal Conduct to define nepotism as a

violation of State ethics. Within 30 days of the effective date of this Executive Order, all

State agencies shall amend their employment policies or handbooks to define nepotism,

in at least as stringent terms as this Executive Order, as a violation of State Agency

policy and file these policies or handbooks with the Chief Compliance Office and with

the Executive Ethics Commission.

8. All State Agencies, when negotiating with any Labor Organization, shall make every

reasonable effort to secure a collective bargaining agreement that meets or exceeds the

objectives of this Executive Order.

9. CMS may prescribe regulations authorizing the temporary employment, in the event of

emergencies resulting from natural disasters or similar unforeseen events or

circumstances, of individuals whose employment would otherwise be prohibited by this

section.

This Executive Order does not apply to individuals serving in a volunteer capacity or who

exclusively provide emergency, medical, firefighting, police services, or any charitable service to

the State.

III. SAVINGS CLAUSE

This Executive Order does not contravene, and shall not be construed to contravene, any federal

law, State statute, or collective bargaining agreement. This Executive Order is intended only to

improve the internal management of the Executive Branch of the State of Illinois and does not

create any right to administrative or judicial review, or any other rights or benefits, substantive or

procedural, enforceable at law or in equity by a party against the State of Illinois, its agencies or

instrumentalities, its officers or employees, or any other person. Nothing in this Executive Order

shall be construed to impair the State's compliance with or undertaking efforts to comply with

the Court's directives in Shakman. This Executive Order does not prohibit the continuation of a

job assignment that began prior to the effective date of this Executive Order.


18

EXECUTIVE ORDERS

IV. PRIOR EXECUTIVE ORDERS


V. SEVERABILITY CLAUSE



are severable.

VI. EFFECTIVE DATE

This Executive Order shall take effect thirty (30) days after filing with the Secretary of State.



ILLINOIS ADMINISTRATIVE CODE Issue Index - With Effective Dates

Rules acted upon in Volume 42, Issue 40 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 44 - 930 ..................... 17282 38 - 190 ..................... 17285 89 - 146 ..................... 17309 50 - 654 ..................... 17316 50 - 904 ..................... 17329 50 - 910 ..................... 17336 50 - 916 ..................... 17342 50 - 2007 ..................... 17349 50 - 2051 ..................... 17368 50 - 3115 ..................... 17489 50 - 3121 ..................... 17493 50 - 4415 ..................... 17497 50 - 4435 ..................... 17501 50 - 4515 ..................... 17506 50 - 4520 ..................... 17521 77 - 956 ..................... 17545 89 - 146 ..................... 17954 ADOPTED RULES 17 - 590 9/21/2018 ..................... 17547 17 - 670 9/21/2018 ..................... 17610 77 - 515 9/20/2018 ..................... 17632 86 - 100 9/24/2018 ..................... 17852 EMERGENCY RULES 44 - 930 9/18/2018 ..................... 17899 89 - 146 9/24/2018 ..................... 17935 77 - 956 9/18/2018 ..................... 17942 NOTICE OF CODIFICATION CHANGES 68 - 1300 ..................... 17955 JCAR REVIEW OF EXISTING RULES STATEMENT OF RECOMMENDATIONS 44 - 7000 ..................... 17956 EXECUTIVE ORDERS AND PROCLAMATIONS 18 - 10 9/21/2018 ..................... 17958 18 - 11 9/21/2018 ..................... 17963 18 - 12 9/21/2018 ..................... 17975

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