January 5, 2018 - Illinois Register Volume 42, Issue 1 page 7 · i TABLE OF CONTENTS January 5,...

ILLINOIS REGISTER RULES

OF GOVERNMENTAL AGENCIES

PUBLISHED BY JESSE WHITE • SECRETARY OF STATE

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

Printed on recycled paper

i

TABLE OF CONTENTS

January 5, 2018 Volume 42, Issue 1

PROPOSED RULES BOARD OF HIGHER EDUCATION

Data Repository, Shared Data Agreement and Fees

23 Ill. Adm. Code 910............................................................................1

GAMING BOARD, ILLINOIS

Riverboat Gambling

86 Ill. Adm. Code 3000..........................................................................7

HEALTHCARE AND FAMILY SERVICES, DEPARTMENT OF

Medical Payment

89 Ill. Adm. Code 140............................................................................27

INSURANCE, DEPARTMENT OF

Internal Security Standard and Fidelity Bonds

50 Ill. Adm. Code 904............................................................................53

ADOPTED RULES BOARD OF HIGHER EDUCATION

Dual Credit Courses

23 Ill. Adm. Code 1009..........................................................................59

Program Review (Private Colleges and Universities)

23 Ill. Adm. Code 1030..........................................................................66

Approval of New Units of Instruction, Research and Public Service at

Public Institutions

23 Ill. Adm. Code 1050..........................................................................120

Private Business and Vocational Schools

23 Ill. Adm. Code 1095..........................................................................151

SECRETARY OF STATE

Public Use of Capitol Complex and Springfield Facilities

71 Ill. Adm. Code 2005..........................................................................188

Collection of Fees

92 Ill. Adm. Code 1003..........................................................................203

Certificates of Title, Registration of Vehicles

92 Ill. Adm. Code 1010..........................................................................212

Remittance Agents

92 Ill. Adm. Code 1019..........................................................................223

Cancellation, Revocation or Suspension of Licenses or Permits

92 Ill. Adm. Code 1040..........................................................................235

SECOND NOTICES RECEIVED

JOINT COMMITTEE ON ADMINISTRATIVE RULES

Second Notices Received.......................................................................259

JOINT COMMITTEE ON ADMINISTRATIVE RULES AGENDA


January Agenda………..........................................................................261

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REGULATORY AGENDA BOARD OF HIGHER EDUCATION

Diversifying Higher Education Faculty in Illinois Program

23 Ill. Adm. Code 1080..........................................................................266

CAPITAL DEVELOPMENT BOARD

Rules of the Capital Development Board

2 Ill. Adm. Code 1650............................................................................269

DRYCLEANER ENVIRONMENTAL RESPONSE TRUST FUND

COUNCIL

General Program

35 Ill. Adm. Code 1500..........................................................................275

ENVIRONMENTAL PROTECTION AGENCY, ILLINOIS

Procedures for Issuing Loans From the Public Water Supply

Loan Program

35 Ill. Adm. Code 365............................................................................277

OFFICE OF THE STATE FIRE MARSHAL

Fire Prevention and Safety

41 Ill. Adm. Code 100............................................................................283

OFFICE OF THE STATE TREASURER

Rules of Practice in Administrative Hearings

74 Ill. Adm. Code 730............................................................................303

STUDENT ASSISTANCE COMMISSION, ILLINOIS

Illinois Veteran Grant (IVG) Program

23 Ill. Adm. Code 2733..........................................................................309

iii

INTRODUCTION

The Illinois Register is the official state document for publishing public notice of rulemaking

activity initiated by State governmental agencies. The table of contents is arranged categorically

by rulemaking activity and alphabetically by agency within each category.

Rulemaking activity consists of proposed or adopted new rules; amendments to or repealers of

existing rules; and rules promulgated by emergency or peremptory action. Executive Orders and

Proclamations issued by the Governor; notices of public information required by State Statute;

and activities (meeting agendas; Statements of Objection or Recommendation, etc.) of the Joint

Committee on Administrative Rules (JCAR), a legislative oversight committee which monitors

the rulemaking activities of State Agencies; is also published in the Register.

The Register is a weekly update of the Illinois Administrative Code (a compilation of the rules

adopted by State agencies). The most recent edition of the Code, along with the Register,

comprise the most current accounting of State agencies' rulemakings.

The Illinois Register is the property of the State of Illinois, granted by the authority of the Illinois

Administrative Procedure Act [5 ILCS 100/1-1, et seq.].

ILLINOIS REGISTER PUBLICATION SCHEDULE FOR 2018

Issue# Rules Due Date Date of Issue

1 December 26, 2017 January 5, 2018

2 January 2, 2018 January 12, 2018



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 1

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BOARD OF HIGHER EDUCATION

NOTICE OF PROPOSED RULES

1) Heading of the Part: Data Repository, Shared Data Agreement and Fees

2) Code Citation: 23 Ill. Adm. Code 910

3) Section Numbers: Proposed Actions:

910.10 New Section

910.20 New Section

910.30 New Section

910.40 New Section

910.50 New Section

910.60 New Section

4) Statutory Authority: Implementing and authorized by Section 9.36 of the Board of

Higher Education Act [110 ILCS 205/9.36].

5) A Complete Description of the Subjects and Issues Involved: Pursuant to the P-20

Longitudinal Education Data System Act, the Board of Higher Education is the State

Education Authority responsible for collecting and maintaining enrollment, completion,

and student characteristic information of those attending higher education institutions

other than community colleges. Student-level data is private, confidential, and protected

by State and federal laws. As such, confidentiality must be maintained while collecting

and securing the data and any data sharing agreement must meet strict requirements.

PA 100-417 amended the Board of Higher Education Act and the Illinois Public

Community College Act to authorize the boards to collect fees sufficient to cover the

costs of processing and handling individual student-level data requests pursuant to an

approved data sharing agreement. The Act requires fees to be set by administrative rules.

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

ILLINOIS REGISTER 2

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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].

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

rulemaking: Comments on the proposed rulemaking may be submitted in writing for a

period of 45 days following publication of this Notice. Comments should be submitted

to:

Karen Helland, Administrative Rules Coordinator

Illinois Board of Higher Education

1 N. Old State Capitol Plaza, Suite 333

Springfield IL 62701-1377

217/557-7358

email: [email protected]

fax: 217/782-8548

13) Initial Regulatory Flexibility Analysis:

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

affected: None

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

C) Types of Professional skills necessary for compliance: None

14) Regulatory Agenda on which this rulemaking was summarized: Included in the January

2018 agenda since the effective date for PA 100-417 is August 25, 2017.

The full Text of the Proposed Rules begins on the next page:

ILLINOIS REGISTER 3

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TITLE 23: EDUCATION AND CULTURAL RESOURCES

SUBTITLE A: EDUCATION

CHAPTER II: BOARD OF HIGHER EDUCATION

PART 910

DATA REPOSITORY, SHARED DATA AGREEMENTS, AND FEES

Section

910.10 Purpose

910.20 Definitions

910.30 Data Repository

910.40 Use, Security and Confidentiality of Data

910.50 Shared Data Agreements

910.60 Schedule of Fees

AUTHORITY: Implementing and authorized by Section 9.36 of the Board of Higher Education

Act [110 ILCS 205].

SOURCE: Adopted at 42 Ill. Reg. ______, effective ____________.

Section 910.10 Purpose

a) The Board may collect a fee to cover the cost of processing and handling

individual student-level data requests pursuant to an approved data sharing

agreement. The fee shall not be assessed on any entities that are complying with

State or federal-mandated reporting. The fee shall be set by the Board by rule.

(Section 9.36 of Act)

b) The Board may not provide personally identifiable information on individual

students except when an approved data sharing agreement is signed that includes

specific requirements for safeguarding the privacy and security of any personally

identifiable information in compliance with the federal Family Educational Rights

and Privacy Act of 1974 (20 USC 1232g). (Section 9.36 of Act)

Section 910.20 Definitions

"Act" means the Board of Higher Education Act [110 ILCS 205].

"Board" or "IBHE" means the Illinois Board of Higher Education.

ILLINOIS REGISTER 4

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"Shared Data Agreement" means a written contract between parties that defines

the care and handling of sensitive or restricted use data, including, but not limited

to:

the terms of the agreement;

a description of the data requested;

ownership of the data;

security measures and access to the data, including access by third parties

or subcontractors of the parties;

uses of the data;

data confidentiality procedures;

duration of the agreement, including any renewals of the agreement; and

disposition of the data at the completion of the contract.

"Student-Level Data" means demographic, performance, and other data that

pertains to a single student.

Section 910.30 Data Repository

Under the authority of the P-20 Longitudinal Education Data System Act [105 ILCS 13], the

Board is the State Education Authority responsible for collecting and maintaining authoritative

enrollment, completion, and student characteristic information on students enrolled in

institutions of higher learning, other than community colleges. [105 ILCS 13/15]

Section 910.40 Use, Security and Confidentiality of Data

a) IBHE and entities accessing IBHE data shall comply with all applicable federal

and State laws that regulate the privacy and use of, and access to, shared data.

(See, e.g., the Family Educational Rights and Privacy Act; the Illinois School

Student Records Act [105 ILCS 10]; the Data Processing Confidentiality Act [30

ILLINOIS REGISTER 5

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ILCS 585]; the Freedom of Information Act [5 ILCS 140]; section 487 of the

Higher Education Act of 1965, as amended (20 USC 1094).)

b) IBHE data is confidential and shall not be used or shared for any purpose other

than that directly related to internal operations of IBHE or stipulated in an IBHE

shared data agreement with another entity. Entities accessing IBHE data shall be

responsible for meeting IBHE shared data agreement security procedures and

protocols, pursuant to Section 910.50, to protect the integrity of the data accessed,

stored, transmitted or received.

Section 910.50 Shared Data Agreements

a) Student-level data furnished by IBHE is licensed by IBHE and remains the

property of IBHE.

b) All requests for data files, data products, aggregations or reports containing

student-level data elements, except in the case of state and federal mandated

accountability reporting, shall be made in writing to IBHE using IBHE forms.

c) All requests shall be approved in writing by the Executive Director, or his/her

designee, prior to execution of a shared data agreement.

d) All data obtained from IBHE shall be used solely for the purpose identified by the

requesting entity. The scope and term of this usage will be detailed in a shared

data agreement specific to each request. Use of the data for any other purpose

requires a separate and specific written request, approval and shared data

agreement.

e) IBHE will provide the data "as is" with no warranties of any kind concerning

fitness for any particular use. IBHE will not be liable in any manner whatsoever

for the requesting party's use of the data or any inferences, judgments or decisions

resulting from the use of the data. The data is provided "as is", and the requesting

party is solely responsible for understanding the limitations of the data, including,

but not limited to, its accuracy, as well as its suitability for any particular use.

IBHE makes no representations of any kind and assumes no responsibility for the

requesting party's use of the data.

f) Any entity in receipt of IBHE student-level data must comply with applicable

laws and regulations with respect to the protection of privacy, security and

ILLINOIS REGISTER 6

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dissemination of the confidential information. Upon completion of the data

sharing purpose, the entity in receipt of IBHE student-level data shall return it to

IBHE or destroy it and any copies, as specified in the data sharing agreement.

g) The requesting party shall defend, indemnify, release and hold IBHE and its

Board members, employees and agents harmless from and against any and all

claims, losses and expenses, including any and all consequential, special,

exemplary or punitive damages arising out of or incidental to the data sharing

agreement, regardless of the negligence or fault of the requesting party.

Section 910.60 Schedule of Fees

Fees are assessed for providing access to data files or producing studies, data products or

analyses of data. The following is the schedule of fees for datasets and products:

a) Schedule of Fees

Number of Records Processed Fee

Up to 24,000 $2,000

24,001 to 80,000 $4,000

80,001 to 300,000 $8,000

300,001 to 1,000,000 $15,000

b) In addition to standard data product fees, the Board will assess a 30% surcharge

for complex requests related to longitudinal analysis and generation of outcomes

measures.

ILLINOIS REGISTER 7

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ILLINOIS GAMING BOARD

NOTICE OF PROPOSED AMENDMENTS

1) Heading of the Part: Riverboat Gambling



3000.660 Amendment

3000.750 Amendment

3000.780 Amendment

3000.782 Amendment

4) Statutory Authority: Authorized by Section 5 (c) of the Riverboat Gambling Act [230

ILCS 10/5 (c)].

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

Progressive jackpots on live gaming devices: The proposed rule change will apply

several current rule provisions to jackpots on live gaming devices which now apply only

to jackpots on electronic gaming machines, namely:

• The value of the progressive jackpot must be clearly displayed above the

device.

• All devices linked to the progressive jackpot must have the same probability

of hitting the combination that will award the jackpot.

• With Administrator approval, a progressive jackpot may be transferred to

another live gaming device in the event of a device malfunction or

replacement.

• A holder of an Owners license may place a limit on the amount of the

progressive jackpot.

• No progressive jackpot shall be cancelled or turned back to a lesser amount

unless one of the following events occurs:

○ The amount shown on the progressive meter is paid out as a jackpot;

ILLINOIS REGISTER 8

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○ The jackpot amount needs to be adjusted so that it does not exceed the limit

placed by the Riverboat Gaming Operation; or

○ An adjustment is necessary because of a device malfunction. In this instance,

the malfunction must be recorded on the appropriate on-line data system.

Self-Exclusion List: Under current law, persons who opt for placement on the Self-

Exclusion List (List) remain on this List permanently if no further action is taken.

Removal from the Self-Exclusion List requires a successful petition to the Board under

the procedures set forth in Subpart G, which require a written recommendation from a

treating physician or qualified mental health professional who is a certified gambling

counselor, as to the self-excluded person's capacity to participate in gambling without

adverse health and mental health risks or consequences related to gambling. The Board

may, at its discretion, require two such recommendations. In practice, removal from the

List has been difficult, and to date has been accomplished by only a single individual.

The proposed rulemaking provides the option of a 5-year or 10-year placement on the

Self-Exclusion List in lieu of a permanent placement. The option of permanent

placement still will be available and may be selected at any time by a person placed on

the List. Following an initial 5-year placement, a person will placed permanently on the

List unless he or she opts for a second 5-year placement or opts to remove himself or

herself from the List. At the expiration of the second 5-year placement, the person will

be placed on the Self-Exclusion List permanently unless he or she opts to remove himself

or herself from the List. Following a 10-year placement, a person will be placed on the

Self-Exclusion List permanently unless he or she opts to remove himself or herself from

the List.

A person who opts to remove himself or herself from the Self-Exclusion List or to renew

a current 5-year placement must provide notification to the Board not more than one year,

and not less than one month, before the expiration of his or her current 5-year or 10-year

placement.

A person who is already on the Self-Exclusion List as of the effective date of this

rulemaking may convert his or her current, permanent placement to a 5-year or 10-year

placement by notifying the Board within one year of the rulemaking's effective date. The

5-year or 10-year placement will begin on the date of notification to the Board, and shall

ILLINOIS REGISTER 9

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be deemed as an initial 5-year or 10-year placement subject to the renewal and removal

provisions outlined above.

Individuals who violate the terms of their placements on the Self-Exclusion List shall be

placed on the List permanently unless removed under the current procedures currently

provided by Sections 3000.780 through 3000.785 of Subpart G.

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

rulemaking: In drafting this rulemaking, the Illinois Gaming Board compared the self-

exclusion programs of Indiana, Louisiana, Mississippi, Missouri, and Pennsylvania. The

laws of all of these states authorize placements on a self-exclusion list for a term of years.

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


9) Does this rulemaking contain incorporation by reference? No

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

Section Numbers: Proposed Actions: Illinois Register Citation:

3000.100 Amendment 41 Ill. Reg. 7728; July 7, 2017

3000.273 New Section 41 Ill. Reg. 7728; July 7, 2017



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

State mandate under 30 ILCS 805.

12) Time, place and manner in which interested persons may comment on this rulemaking:

Any interested person may submit comments in writing concerning this proposed

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

to:

Agostino Lorenzini

General Counsel

Illinois Gaming Board

ILLINOIS REGISTER 10

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160 North LaSalle Street

Chicago IL 60601

fax: 312/814-7253

[email protected]



affected: None

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

rulemaking will require the Illinois Gaming Board to implement the procedures

directed by this rulemaking relative to the Self-Exclusion List.

C) Types of professional skills necessary for compliance: The proposed rulemaking

will impose no additional requirements.

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

summarized in a regulatory agenda because the need for it was not anticipated at the time

agendas were published.

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


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TITLE 86: REVENUE

CHAPTER IV: ILLINOIS GAMING BOARD

PART 3000

RIVERBOAT GAMBLING

SUBPART A: GENERAL PROVISIONS

Section

3000.100 Definitions

3000.101 Invalidity

3000.102 Public Inquiries

3000.103 Organization of the Illinois Gaming Board

3000.104 Rulemaking Procedures

3000.105 Board Meetings

3000.110 Disciplinary Actions

3000.115 Records Retention

3000.120 Place to Submit Materials

3000.130 No Opinion or Approval of the Board

3000.140 Duty to Disclose Changes in Information

3000.141 Applicant/Licensee Disclosure of Agents

3000.150 Owner's and Supplier's Duty to Investigate

3000.155 Investigatory Proceedings

3000.160 Duty to Report Misconduct

3000.161 Communication with Other Agencies

3000.165 Participation in Games by Owners, Directors, Officers, Key Persons or Gaming

Employees

3000.170 Fair Market Value of Contracts

3000.180 Weapons on Riverboat

SUBPART B: LICENSES

Section

3000.200 Classification of Licenses

3000.210 Fees and Bonds

3000.220 Applications

3000.221 Other Required Forms


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3000.222 Identification and Requirements of Key Persons

3000.223 Disclosure of Ownership and Control

3000.224 Economic Disassociation

3000.225 Business Entity and Personal Disclosure Filings

3000.230 Owner's Licenses

3000.231 Distributions

3000.232 Undue Economic Concentration

3000.234 Acquisition of Ownership Interest By Institutional Investors

3000.235 Transferability of Ownership Interest

3000.236 Owner's License Renewal

3000.237 Renewed Owner's Licenses, Term and Restrictions

3000.238 Appointment of Receiver for an Owner's License

3000.240 Supplier's Licenses

3000.241 Renewal of Supplier's License

3000.242 Amendment to Supplier's Product List

3000.243 Bankruptcy or Change in Ownership of Supplier

3000.244 Surrender of Supplier's License

3000.245 Occupational Licenses

3000.250 Transferability of Licenses

3000.260 Waiver of Requirements

3000.270 Certification and Registration of Electronic Gaming Devices

3000.271 Analysis of Questioned Electronic Gaming Devices

3000.272 Certification of Voucher Systems

3000.280 Registration of All Gaming Devices

3000.281 Transfer of Registration (Repealed)

3000.282 Seizure of Gaming Devices (Repealed)

3000.283 Analysis of Questioned Electronic Gaming Devices (Repealed)

3000.284 Disposal of Gaming Devices

3000.285 Certification and Registration of Voucher Validation Terminals

3000.286 Contracting Goals for Owners Licensees

SUBPART C: OWNER'S INTERNAL CONTROL SYSTEM

Section

3000.300 General Requirements – Internal Control System

3000.310 Approval of Internal Control System

3000.320 Minimum Standards for Internal Control Systems


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3000.330 Review of Procedures (Repealed)

3000.340 Operating Procedures (Repealed)

3000.350 Modifications (Repealed)

SUBPART D: HEARINGS ON NOTICE OF DENIAL,

RESTRICTION OF LICENSE, PLACEMENT ON BOARD EXCLUSION LIST OR

REMOVAL FROM BOARD EXCLUSION LIST OR SELF-EXCLUSION LIST

Section

3000.400 Coverage of Subpart

3000.405 Requests for Hearings

3000.410 Appearances

3000.415 Discovery

3000.420 Motions for Summary Judgment

3000.424 Subpoena of Witnesses

3000.425 Proceedings

3000.430 Evidence

3000.431 Prohibition on Ex Parte Communication

3000.435 Sanctions and Penalties

3000.440 Transmittal of Record and Recommendation to the Board

3000.445 Status of Applicant for Licensure or Transfer Upon Filing Request for Hearing

SUBPART E: CRUISING

Section

3000.500 Riverboat Cruises

3000.510 Cancelled or Disrupted Cruises

SUBPART F: CONDUCT OF GAMING

Section

3000.600 Wagering Only with Electronic Credits, Approved Chips, Tokens and Electronic

Cards

3000.602 Disposition of Unauthorized Winnings

3000.605 Authorized Games

3000.606 Gaming Positions

3000.610 Publication of Rules and Payout Ratio for Live Gaming Devices

3000.614 Tournaments, Enhanced Payouts and Give-aways


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3000.615 Payout Percentage for Electronic Gaming Devices

3000.616 Cashing-In

3000.620 Submission of Chips for Review and Approval

3000.625 Chip Specifications

3000.630 Primary, Secondary and Reserve Sets of Gaming Chips

3000.631 Tournament Chips

3000.635 Issuance and Use of Tokens for Gaming

3000.636 Distribution of Coupons for Complimentary Chips, Tokens, Vouchers, Cash and

Electronic Credits

3000.640 Exchange of Chips, Tokens, and Vouchers

3000.645 Receipt of Gaming Chips or Tokens from Manufacturer or Distributor

3000.650 Inventory of Chips

3000.655 Destruction of Chips, Tokens, and Vouchers

3000.660 Minimum Standards for Electronic Gaming Devices

3000.661 Minimum Standards for Voucher Systems

3000.665 Integrity of Electronic Gaming Devices

3000.666 Bill Validator Requirements

3000.667 Integrity of Voucher Systems

3000.670 Computer Monitoring Requirements of Electronic Gaming Devices

3000.671 Computer Monitoring Requirements of Voucher Systems

SUBPART G: EXCLUSION OF PERSONS

Section

3000.700 Organization of Subpart

3000.701 Duty to Exclude

3000.705 Voluntary Self-Exclusion Policy (Repealed)

3000.710 Distribution and Availability of Board Exclusion List

3000.720 Criteria for Exclusion or Ejection and Placement on the Board Exclusion List

3000.725 Duty of Licensees

3000.730 Procedure for Entry of Names

3000.740 Petition for Removal from the Board Exclusion List

3000.745 Voluntary Self-Exclusion Policy

3000.750 Establishment of a Self-Exclusion List

3000.751 Locations to Execute Self-Exclusion Forms

3000.755 Information Required for Placement on the Self-Exclusion List

3000.756 Stipulated Sanctions for Failure to Adhere to Voluntary Self-Exclusion


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3000.760 Distribution and Availability of Confidential Self-Exclusion List

3000.770 Duties of Licensees

3000.780 Request for Removal from the IGB Self-Exclusion List

3000.782 Required Information, Recommendations, Forms and Interviews

3000.785 Appeal of a Notice of Denial of Removal

3000.786 Duties of Owner Licensees to Persons Removed from the Self-Exclusion List

3000.787 Placement on the Self-Exclusion List Following Removal

3000.790 Duties of the Board

SUBPART H: SURVEILLANCE AND SECURITY

Section

3000.800 Required Surveillance Equipment

3000.810 Riverboat and Board Surveillance Room Requirements

3000.820 Segregated Telephone Communication

3000.830 Surveillance Logs

3000.840 Storage and Retrieval

3000.850 Dock Site Board Facility

3000.860 Maintenance and Testing

SUBPART I: LIQUOR LICENSES

Section

3000.900 Liquor Control Commission

3000.910 Liquor Licenses

3000.920 Disciplinary Action

3000.930 Hours of Sale

SUBPART J: OWNERSHIP AND ACCOUNTING RECORDS AND PROCEDURES

Section

3000.1000 Ownership Records

3000.1010 Accounting Records

3000.1020 Standard Financial and Statistical Records

3000.1030 Annual and Special Audits and Other Reporting Requirements

3000.1040 Accounting Controls Within the Cashier's Cage


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3000.1050 Procedures for Exchange of Checks Submitted by Gaming Patrons and Granting

Credit

3000.1060 Handling of Cash at Gaming Tables

3000.1070 Tips or Gratuities

3000.1071 Admission Tax and Wagering Tax

3000.1072 Cash Reserve Requirements

SUBPART K: SEIZURE AND DISCIPLINARY HEARINGS

Section

3000.1100 Coverage of Subpart

3000.1105 Duty to Maintain Suitability

3000.1110 Board Action Against License or Licensee

3000.1115 Complaint

3000.1120 Appearances

3000.1125 Answer

3000.1126 Appointment of Hearing Officer

3000.1130 Discovery

3000.1135 Motions for Summary Disposition

3000.1139 Subpoena of Witnesses

3000.1140 Proceedings

3000.1145 Evidence

3000.1146 Prohibition of Ex Parte Communication

3000.1150 Sanctions and Penalties

3000.1155 Transmittal of Record and Recommendation to the Board

AUTHORITY: Implementing and authorized by the Riverboat Gambling Act [230 ILCS 10].

SOURCE: Emergency rule adopted at 15 Ill. Reg. 11252, effective August 5, 1991, for a

maximum of 150 days; adopted at 15 Ill. Reg. 18263, effective December 10, 1991; amended at

16 Ill. Reg. 13310, effective August 17, 1992; amended at 17 Ill. Reg. 11510, effective July 9,

1993; amended at 20 Ill. Reg. 5814, effective April 9, 1996; amended at 20 Ill. Reg. 6280,

effective April 22, 1996; emergency amendment at 20 Ill. Reg. 8051, effective June 3, 1996, for

a maximum of 150 days; amended at 20 Ill. Reg. 14765, effective October 31, 1996; amended at

21 Ill. Reg. 4642, effective April 1, 1997; emergency amendment at 21 Ill. Reg. 14566, effective

October 22, 1997, for a maximum of 150 days; emergency amendment at 22 Ill. Reg. 978,

effective December 29, 1997, for a maximum of 150 days; amended at 22 Ill. Reg. 4390,


18



effective February 20, 1998; amended at 22 Ill. Reg. 10449, effective May 27, 1998; amended at

22 Ill. Reg. 17324, effective September 21, 1998; amended at 22 Ill. Reg. 19541, effective

October 23, 1998; emergency amendment at 23 Ill. Reg. 8191, effective July 2, 1999 for a

maximum of 150 days; emergency expired November 28, 1999; amended at 23 Ill. Reg. 8996,

effective August 2, 1999; amended at 24 Ill. Reg. 1037, effective January 10, 2000; amended at

25 Ill. Reg. 94, effective January 8, 2001; amended at 25 Ill. Reg. 13292, effective October 5,

2001; proposed amended at 26 Ill. Reg. 9307, effective June 14, 2002; emergency amendment

adopted at 26 Ill. Reg. 10984, effective July 1, 2002, for a maximum of 150 days; adopted at 26

Ill. Reg. 15296, effective October 11, 2002; amended at 26 Ill. Reg. 17408, effective November

22, 2002; emergency amendment at 27 Ill. Reg. 10503, effective June 30, 2003, for a maximum

of 150 days; amended at 27 Ill. Reg. 15793, effective September 25, 2003; amended at 27 Ill.

Reg. 18595, effective November 25, 2003; amended at 28 Ill. Reg. 12824, effective August 31,

2004; amended at 31 Ill. Reg. 8098, effective June 14, 2007; amended at 32 Ill. Reg. 2967,

effective February 15, 2008; amended at 32 Ill. Reg. 3275, effective February 19, 2008; amended

at 32 Ill. Reg. 7357, effective April 28, 2008; amended at 32 Ill. Reg. 8592, effective May 29,


effective July 22, 2008; amended at 32 Ill. Reg. 17418, effective October 23, 2008; amended at

32 Ill. Reg. 17759, effective October 28, 2008; amended at 32 Ill. Reg. 17946, effective

November 5, 2008; amended at 34 Ill. Reg. 3285, effective February 26, 2010; amended at 34 Ill.

Reg. 3748, effective March 11, 2010; amended at 34 Ill. Reg. 4768, effective March 16, 2010;

amended at 34 Ill. Reg. 5200, effective March 24, 2010; amended at 34 Ill. Reg. 15386, effective

September 23, 2010; amended at 36 Ill. Reg. 13199, effective July 31, 2012; amended at 37 Ill.

Reg. 12050, effective July 9, 2013; amended at 37 Ill. Reg. 18255, effective November 1, 2013;

amended at 38 Ill. Reg. 2808, effective January 8, 2014; amended at 38 Ill. Reg. 21471, effective

October 29, 2014; amended at 39 Ill. Reg. 4362, effective March 10, 2015; amended at 39 Ill.

Reg. 12312, effective August 18, 2015; amended at 40 Ill. Reg. 12776, effective August 19,

2016; amended at 41 Ill. Reg. 380, effective December 29, 2016; amended at 41 Ill. Reg. 12840,

effective September 28, 2017; amended at 42 Ill. Reg. ______, effective ____________.

SUBPART F: CONDUCT OF GAMING

Section 3000.660 Minimum Standards for Electronic Gaming Devices

a) Electronic Gaming Devices shall pay out a mathematically demonstrable

percentage of all amounts Wagered, which must not be less than 80% nor more

than 100% unless otherwise approved by the Administrator. Electronic Gaming

Devices that may be affected by player skill must meet this standard when using a


18



method of play that will provide the greatest return to the player over a period of

continuous play.

b) Electronic Gaming Devices shall, at a minimum:

1) Be controlled by a microprocessor or the equivalent;

2) Be compatible to on-line data monitoring;

3) Contain an EPROM or other non-alterable storage media that has been

approved by the Administrator subsequent to a review of the EPROM or

other non-alterable storage media by an independent laboratory designated

by the Administrator;

4) Have a separate locked internal enclosure within the device for the circuit

board containing the EPROM and for all other non-alterable storage media

program storage that has an effect on the game's integrity; if using other

non-alterable storage media, provide a security device or protocol

approved by the Administrator to guarantee program inaccessibility by

other than by an approved method and personnel and only in the presence

of a Gaming Board agent;

5) Be able to continue a Game with no data loss after a power failure;

6) Have previous and current Game data recall;

7) Have a random selection process that must not produce detectable patterns

of Game elements or detectable dependency upon any previous Game

outcome, the amount Wagered, or upon the style or method of play;

8) Clearly display applicable rules of play and the payout schedule;

9) Display an accurate representation of each Game outcome. After selection

of the Game outcome, the Electronic Gaming Device must not make a

variable secondary decision which affects the result shown to the player;

10) Have a complete set of nonvolatile meters including amounts wagered,


18



amounts awarded, amounts redeemed, total Vouchers issued, total quantity

of Vouchers issued and United States currency, Vouchers, and Tokens

dropped;

11) Make available for random selection at the initiation of each play each

possible permutation or combination of Game elements which produce

winning or losing Game outcomes;

12) Not automatically alter pay-tables or any function of the Electronic

Gaming Device based on internal computation of the hold percentage; and

13) If interfaced with a Voucher System, meet the minimum requirements for

a Voucher System as set forth in this Part.

c) When an Electronic Gaming Device is unable to drop sufficient Tokens or issue a

Voucher in a sufficient amount for payment of jackpots requiring the payment to

be made by the Riverboat, jackpot payout tickets must be prepared containing the

following information:

1) The location of the Electronic Gaming Device;

2) The date;

3) The time of day;

4) The Electronic Gaming Device number;

5) The amount of the jackpot payout in numeric form if the ticket is machine

generated, or in written and numeric form if the ticket is prepared

manually;

6) The signature of the holder of an Owner's license or Riverboat Gaming

Operation employee making the payment; and

7) A signature of at least one other Riverboat Gaming Operation employee

attesting to the accuracy of the form.


18



d) Electronic Gaming Devices or Live Gaming Devices linked to any Progressive

Jackpot system shall meet the following specifications:

1) The value of a Progressive Jackpot shall be clearly displayed above the

interlinked Electronic Gaming Devices or Live Gaming Devices, and

metered incrementally by a Progressive Controller. Any Electronic

Gaming Device or Live Gaming Device that offers a Progressive Jackpot,

or that is linked to a Progressive Jackpot or Live Gaming Device, must

prominently display a manufacturer-supplied glass indicating either that a

Progressive Jackpot or Live Gaming Device is to be paid or indicating the

current amount of the jackpot. All Electronic Gaming Devices or Live

Gaming Devices linked and contributing to a common Progressive Jackpot

shall have the same probability of hitting the combination that will award

the Progressive Jackpot;

2) A Progressive Jackpot may be transferred to another progressive

Electronic Gaming Device or Live Gaming Device at the same location in

the event of a device malfunction or replacement, with approval of the

Administrator;

3) A holder of an Owner's license may impose a limit on the Progressive

Jackpot of Electronic Gaming Devices or Live Gaming Devices thatwhich

are linked to any Progressive Controller;

4) No Progressive Jackpot indicator shall be cancelled or turned back to a

lesser amount unless one of the following circumstances occurs:

A) The amount shown on the progressive meter is paid to a player as a

jackpot;

B) It becomes necessary to adjust the progressive meter to prevent the

jackpot indicator from displaying an amount greater than the limit

imposed by the Riverboat Gaming Operation pursuant to

subsection (d)(3) of this Section; and

C) It becomes necessary to change the jackpot indicator because of an

Electronic Gaming Device or Live Gaming Device malfunction, in


18



which case thesuch malfunction and adjustment must be recorded

by appropriate Electronic Gaming Device or Live Gaming Device

monitoring on-line data system;

5) A holder of an Owner's license who is liable for payment of a Progressive

Jackpot must secure the amount of same by a cash deposit, a performance

bond, or a security instrument nationally recognized in the Gaming

industry. The Administrator must approve all deposits, bonds, or other

instruments, and the security instrument must be secured in a method

approved by the Administrator.

e) The Administrator may approve, for use in a Tournament involving Electronic

Gaming Devices, a Tournament EPROM or other non-alterable storage media

subject to the following requirements:

1) The Tournament EPROM or other non-alterable storage media has been

tested and approved for use as may be required by the Administrator.

2) The installation, use and secure storage of the Tournament EPROM or

other non-alterable storage media is provided for in the Internal Control

System of the Riverboat Gaming Operation.

3) The Tournament EPROM or other non-alterable storage media is installed

and removed from an Electronic Gaming Device only in the presence of a

Board agent.

4) An Electronic Gaming Device is rendered unavailable for wagering or

play, except in the conduct of a Tournament, when a Tournament EPROM

or other non-alterable storage media is installed in the Electronic Gaming

Device and is set in tournament mode.

5) As applicable, the Administrator has waived or modified the data

reporting and monitoring requirements of Section 3000.670 so as to

prevent inapplicable Tournament payout information from being used in

the calculation of Adjusted Gross Receipts.

6) Patrons engaging in a Tournament have been given proper information as


18



to the effect that play with a Tournament EPROM or other non-alterable

storage media has on the rules of play and the payout information that is

posted on Electronic Gaming Devices used in the Tournament.

f) The use of remote access is prohibited unless the Administrator has approved

internal controls that specifically address remote access procedures.

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

SUBPART G: EXCLUSION OF PERSONS

Section 3000.750 Establishment of a Self-Exclusion List

a) Any person who acknowledges that he or she has a gambling problem may

request of the Board that he or she be excluded voluntarily from the area within

the admission turnstiles of all riverboat gaming operations in Illinois on a

permanent basis, except as limited by Section 3000.780. A person shall be placed

on the Self-Exclusion List as provided by this Section 3000.750 upon submission

of all information and completion and execution of all forms required under

Section 3000.755, as enforced by the Administrator.

b) A person who is initially placed on the Self-Exclusion List shall opt for either a

permanent placement, a placement for a period of 5 years, or a placement for a

period of 10 years.

c) A person who is permanently placed on the Self-Exclusion List shall not be

removed from the Self-Exclusion List except as provided by Sections 3000.780

through 3000.785. Any person on the Self-Exclusion List may opt for permanent

placement at any time, even if he or she currently has a 5-year or 10-year

placement.

d) A person who initially opts for a 5-year placement on the Self-Exclusion List

shall be placed permanently on the Self-Exclusion List upon the end of the 5-year

placement, unless he or she opts for a second 5-year placement or opts to remove

himself or herself from the Self-Exclusion List. Upon the end of a second 5-year

placement, a person shall be placed permanently on the Self-Exclusion List

unless he or she opts to remove himself or herself from the Self-Exclusion List.


18



e) A person who opts for a 10-year placement on the Self-Exclusion List shall be

placed permanently on the Self-Exclusion List upon the end of the 10-year

placement, unless he or she opts to remove himself or herself from the Self-

Exclusion List.

f) A person who opts to remove himself or herself from the Self-Exclusion List or

opts for renewal of a 5-year or 10-year placement shall notify the Board not

earlier than one year and not later than 30 days before the end of his or her current

5-year or 10-year placement. The Board shall inform all persons of the renewal

provisions of this subsection (f) prior to each 5-year or 10-year placement, but

shall not be responsible for any further notifications.

g) Within one year following the effective date of this amendatory rulemaking of

2017, a person who is on the Self-Exclusion List as of that effective date may opt

to convert his or her current placement to a 5-year or 10-year placement, effective

upon notification to the Board. A person covered by this subsection (g) who does

not opt for a 5-year or 10-year placement on the Self-Exclusion List within one

year following the effective date of this amendatory rulemaking of 2017 shall be

deemed to have elected a permanent placement. A placement for 5 years or 10

years under this subsection (g) shall be deemed an initial placement under

subsection (d) or (e), as applicable, and shall be subject to the same renewal

provisions provided by those subsections.

h) Notwithstanding any other provision of this Section, a person who violates the

terms of his or her placement on the Self-Exclusion List shall be placed

permanently on the Self-Exclusion List, subject to the removal provisions of

Sections 3000.780 through 3000.785.

ib) Any person placed on the Self-Exclusion List shall be prohibited for a minimum

of 5 years from entering the area within the admission turnstiles of any riverboat

gaming operation in the State of Illinois. Any gaming operation in the United

States owned or operated by an affiliate of an Illinois riverboat gaming operation

may, in its sole discretion, prohibit a person placed on the Self-Exclusion List

from entering its affiliated gaming operations. Any gaming regulatory agency in

any state with which the Board enters into an agreement to share confidentially

the information contained in the Self-Exclusion List may, in its sole discretion,


18



prohibit a person placed on the Self-Exclusion List from entering any gaming

operation within its jurisdiction.

j) The Administrator shall maintain the Self-Exclusion List in a confidential

manner.


Section 3000.780 Request for Removal from the Self-Exclusion List

a) Upon the expiration of 5 years from the date of placement on the Self-Exclusion

List, any person who has been placed on the Self-Exclusion List and who does not

currently have a 5-year or 10-year placement on the Self-Exclusion List may

request the Administrator to remove his or her name from the Self-Exclusion List.

The request must be in writing, state with specificity the reason for the request

and be submitted to the Administrator at the Board's Chicago office. The request

must be based on the elimination of a mental health or medical condition

underlying the person's acknowledgment that he or she has been a problem

gambler and unable to gamble responsibly. Information as to mental health or

medical conditions will be maintained pursuant to the Mental Health and

Developmental Disabilities Confidentiality Act [740 ILCS 110] and other

applicable federal and State laws.

b) If the Administrator approves the request, the Administrator shall inform all

riverboat gaming operations of the removal no later than 10 days after approval.

If the Administrator denies the request, the Administrator shall send to the person

who has requested removal a Notice of Denial of Removal from the Self-

Exclusion List by certified mail. Owner licensees may continue to deny gambling

privileges to self-excluded persons who have been removed from the List.

c) A decision whether to remove a person from the Self-Exclusion List shall be

within the discretion of the Administrator, subject to the fulfillment of all

requirements under Section 3000.782 and further subject to the process provided

by Section 3000.785.



18



Section 3000.782 Required Information, Recommendations, Forms and Interviews

a) A person requesting removal from the Self-Exclusion List who does not currently

have a 5-year or 10-year placement on the Self-Exclusion List must, in connection

with the request, provide the Administrator with all of the following:

1) Documentation as to treatment received for the person's gambling

problem, length of treatment, and names and qualifications of treatment

providers.

2) A written recommendation, from a treating physician or qualified mental

health professional who is a certified gambling counselor, as to the self-

excluded person's capacity to participate in gambling without adverse

health and mental health risks or consequences related to gambling. For

purposes of this Subpart, "certified gambling counselor" means an

individual who has completed a specific course of study in the treatment

of problem gambling and has been certified by a certification organization

acceptable to the Board and listed on the Board's website.

3) Upon request of the Administrator, a written recommendation, from a

second or subsequent physician or qualified mental health professional

who is a certified gambling counselor, as to the self-excluded person's

capacity to participate in gambling without adverse health and mental

health risks or consequences related to gambling.

4) All information required under Section 3000.755(a).

5) A statement informing the Administrator whether the person has been

present at any riverboat gaming operations while on the Self-Exclusion

List and, if so, the names of the riverboat operations at which the person

was present and dates and times of attendance.

6) A waiver of liability of the Board, its agents and the State of Illinois for

any damages that may arise out of any act or omission committed by the

person as a consequence of his or her removal from the Self-Exclusion

List, including any monetary or other damages sustained in connection

with the person's renewal of any gaming activities.


18



7) A verified, written consent to the release of all of the person's medical and

counseling records related to the proposed removal from the Self-

Exclusion List.

8) Any additional information, forms, recommendations, or other materials

necessary, as determined by the Administrator, to demonstrate the

elimination of the mental health or medical condition underlying the

person's acknowledgement that he or she has been a problem gambler and

unable to gamble responsibly.

b) Upon request of the Administrator, a person seeking removal from the Self-

Exclusion List shall appear for an interview at an office of the Board designated

by the Administrator during regular business hours. Persons who are unable to

travel to a Board office due to employment, financial or medical reasons may

request, in writing, a reasonable accommodation in a manner or at a site and time

designated at the sole discretion of the Administrator. Nothing in this Section

shall require that an accommodation be granted.

c) The Administrator shall ascertain to the extent possible whether a person

requesting removal from the Self-Exclusion List was ever present in the area

within the admission turnstiles of a riverboat gaming operation while on the list.

d) The Administrator shall not rule on a request for removal from the Self-Exclusion

List until all requirements of this Section have been fulfilled.



18

DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES

NOTICE OF PROPOSED AMENDMENT

1) Heading of the Part: Medical Payment


3) Section Number: Proposed Action:

140.417 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 100-135 and creates an exception to the Medical Assistance adult

eyeglasses limitation. Currently, payment will only be made for one pair of eyeglasses or

set of lenses for an adult recipient within a 24-month period. This amendment creates an

exception to this policy so that payment can be made for an additional pair of eyeglasses

or set of lenses within the 24-month limitation period when an adult recipient receives a

surgical procedure that necessitates a new pair or set.

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

rulemaking: None

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



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

Section Numbers: Proposed Actions: Illinois Register Citations:

140.20 Amendment 41 Ill. Reg. 3098; March 17, 2017



140.471 Amendment 41 Ill. Reg. 11478; September 15, 2017






18



140.94 Amendment 41 Ill. Reg. 12709; October 13, 2017

140.95 Amendment 41 Ill. Reg. 12709; October 13, 2017

140.44 Amendment 41 Ill. Reg. 13532; November 13, 2017

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:

Mollie Zito

General Counsel

Illinois Department of Healthcare and Family Services

201 South Grand Avenue East, 3rd Floor


217/782-1233

[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


C) Types of professional skills necessary for compliance: None

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

anticipated by the Department when the most recent regulatory agendas were published.


18



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


18



TITLE 89: SOCIAL SERVICES

CHAPTER I: DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES

SUBCHAPTER d: MEDICAL PROGRAMS

PART 140

MEDICAL PAYMENT

SUBPART A: GENERAL PROVISIONS

Section

140.1 Incorporation By Reference

140.2 Medical Assistance Programs

140.3 Covered Services Under Medical Assistance Programs

140.4 Covered Medical Services Under AFDC-MANG for non-pregnant persons who

are 18 years of age or older (Repealed)

140.5 Covered Medical Services Under General Assistance

140.6 Medical Services Not Covered

140.7 Medical Assistance Provided to Individuals Under the Age of Eighteen Who Do

Not Qualify for AFDC and Children Under Age Eight

140.8 Medical Assistance For Qualified Severely Impaired Individuals

140.9 Medical Assistance for a Pregnant Woman Who Would Not Be Categorically

Eligible for AFDC/AFDC-MANG if the Child Were Already Born Or Who Do

Not Qualify As Mandatory Categorically Needy

140.10 Medical Assistance Provided to Persons Confined or Detained by the Criminal

Justice System

SUBPART B: MEDICAL PROVIDER PARTICIPATION

Section

140.11 Enrollment Conditions for Medical Providers

140.12 Participation Requirements for Medical Providers

140.13 Definitions

140.14 Denial of Application to Participate in the Medical Assistance Program

140.15 Suspension and Denial of Payment, Recovery of Money and Penalties

140.16 Termination, Suspension or Exclusion of a Vendor's Eligibility to Participate in

the Medical Assistance Program

140.17 Suspension of a Vendor's Eligibility to Participate in the Medical Assistance


18



Program

140.18 Effect of Termination, Suspension, Exclusion or Revocation on Persons

Associated with Vendor

140.19 Application to Participate or for Reinstatement Subsequent to Termination,

Suspension, Exclusion or Barring

140.20 Submittal of Claims

140.21 Reimbursement for QMB Eligible Medical Assistance Recipients and QMB

Eligible Only Recipients and Individuals Who Are Entitled to Medicare Part A or

Part B and Are Eligible for Some Form of Medicaid Benefits

140.22 Magnetic Tape Billings (Repealed)

140.23 Payment of Claims

140.24 Payment Procedures

140.25 Overpayment or Underpayment of Claims

140.26 Payment to Factors Prohibited

140.27 Assignment of Vendor Payments

140.28 Record Requirements for Medical Providers

140.30 Audits

140.31 Emergency Services Audits

140.32 Prohibition on Participation, and Special Permission for Participation

140.33 Publication of List of Sanctioned Entities

140.35 False Reporting and Other Fraudulent Activities

140.40 Prior Approval for Medical Services or Items

140.41 Prior Approval in Cases of Emergency

140.42 Limitation on Prior Approval

140.43 Post Approval for Items or Services When Prior Approval Cannot Be Obtained

140.44 Withholding of Payments Due to Fraud or Misrepresentation

140.45 Withholding of Payments Upon Provider Audit, Quality of Care Review, Credible

Allegation of Fraud or Failure to Cooperate

140.55 Electronic Data Interchange Service

140.71 Reimbursement for Medical Services Through the Use of a C-13 Invoice Voucher

Advance Payment and Expedited Payments

140.72 Drug Manual (Recodified)

140.73 Drug Manual Updates (Recodified)

140.74 Resolution of Claims Related to Inaccurate or Updated Enrollment Information

SUBPART C: PROVIDER ASSESSMENTS


18



Section

140.80 Hospital Provider Fund

140.82 Developmentally Disabled Care Provider Fund

140.84 Long Term Care Provider Fund

140.86 Supportive Living Facility Funds

140.94 Medicaid Developmentally Disabled Provider Participation Fee Trust

Fund/Medicaid Long Term Care Provider Participation Fee Trust Fund

140.95 Hospital Services Trust Fund

140.96 General Requirements (Recodified)

140.97 Special Requirements (Recodified)

140.98 Covered Hospital Services (Recodified)

140.99 Hospital Services Not Covered (Recodified)

140.100 Limitation On Hospital Services (Recodified)

140.101 Transplants (Recodified)

140.102 Heart Transplants (Recodified)

140.103 Liver Transplants (Recodified)

140.104 Bone Marrow Transplants (Recodified)

140.110 Disproportionate Share Hospital Adjustments (Recodified)

140.116 Payment for Inpatient Services for GA (Recodified)

140.117 Hospital Outpatient and Clinic Services (Recodified)

140.200 Payment for Hospital Services During Fiscal Year 1982 (Recodified)

140.201 Payment for Hospital Services After June 30, 1982 (Repealed)

140.202 Payment for Hospital Services During Fiscal Year 1983 (Recodified)

140.203 Limits on Length of Stay by Diagnosis (Recodified)

140.300 Payment for Pre-operative Days and Services Which Can Be Performed in an

Outpatient Setting (Recodified)

140.350 Copayments (Recodified)

140.360 Payment Methodology (Recodified)

140.361 Non-Participating Hospitals (Recodified)

140.362 Pre July 1, 1989 Services (Recodified)

140.363 Post June 30, 1989 Services (Recodified)

140.364 Prepayment Review (Recodified)

140.365 Base Year Costs (Recodified)

140.366 Restructuring Adjustment (Recodified)

140.367 Inflation Adjustment (Recodified)

140.368 Volume Adjustment (Repealed)

140.369 Groupings (Recodified)


18



140.370 Rate Calculation (Recodified)

140.371 Payment (Recodified)

140.372 Review Procedure (Recodified)

140.373 Utilization (Repealed)

140.374 Alternatives (Recodified)

140.375 Exemptions (Recodified)

140.376 Utilization, Case-Mix and Discretionary Funds (Repealed)

140.390 Subacute Alcoholism and Substance Abuse Services (Recodified)

140.391 Definitions (Recodified)

140.392 Types of Subacute Alcoholism and Substance Abuse Services (Recodified)

140.394 Payment for Subacute Alcoholism and Substance Abuse Services (Recodified)

140.396 Rate Appeals for Subacute Alcoholism and Substance Abuse Services

(Recodified)

140.398 Hearings (Recodified)

SUBPART D: PAYMENT FOR NON-INSTITUTIONAL SERVICES

Section

140.400 Payment to Practitioners

140.402 Copayments for Noninstitutional Medical Services

140.403 Telehealth Services

140.405 Non-Institutional Rate Reductions

140.410 Physicians' Services

140.411 Covered Services By Physicians

140.412 Services Not Covered By Physicians

140.413 Limitation on Physician Services

140.414 Requirements for Prescriptions and Dispensing of Pharmacy Items – Prescribers

140.416 Optometric Services and Materials

140.417 Limitations on Optometric Services

140.418 Department of Corrections Laboratory

140.420 Dental Services

140.421 Limitations on Dental Services

140.422 Requirements for Prescriptions and Dispensing Items of Pharmacy Items –

Dentists (Repealed)

140.423 Licensed Clinical Psychologist Services

140.424 Licensed Clinical Social Worker Services

140.425 Podiatry Services


18



140.426 Limitations on Podiatry Services

140.427 Requirement for Prescriptions and Dispensing of Pharmacy Items – Podiatry

(Repealed)

140.428 Chiropractic Services

140.429 Limitations on Chiropractic Services (Repealed)

140.430 Independent Clinical Laboratory Services

140.431 Services Not Covered by Independent Clinical Laboratories

140.432 Limitations on Independent Clinical Laboratory Services

140.433 Payment for Clinical Laboratory Services

140.434 Record Requirements for Independent Clinical Laboratories

140.435 Advanced Practice Nurse Services

140.436 Limitations on Advanced Practice Nurse Services

140.438 Diagnostic Imaging Services

140.440 Pharmacy Services

140.441 Pharmacy Services Not Covered

140.442 Prior Approval of Prescriptions

140.443 Filling of Prescriptions

140.444 Compounded Prescriptions

140.445 Legend Prescription Items (Not Compounded)

140.446 Over-the-Counter Items

140.447 Reimbursement

140.448 Returned Pharmacy Items

140.449 Payment of Pharmacy Items

140.450 Record Requirements for Pharmacies

140.451 Prospective Drug Review and Patient Counseling

140.452 Mental Health Services

140.453 Definitions

140.454 Types of Mental Health Services

140.455 Payment for Mental Health Services

140.456 Hearings

140.457 Therapy Services

140.458 Prior Approval for Therapy Services

140.459 Payment for Therapy Services

140.460 Clinic Services

140.461 Clinic Participation, Data and Certification Requirements

140.462 Covered Services in Clinics

140.463 Clinic Service Payment


18



140.464 Hospital-Based and Encounter Rate Clinic Payments

140.465 Speech and Hearing Clinics (Repealed)

140.466 Rural Health Clinics (Repealed)

140.467 Independent Clinics

140.469 Hospice

140.470 Eligible Home Health Care, Nursing and Public Health Providers

140.471 Description of Home Health Care Services

140.472 Types of Home Health Care Services

140.473 Prior Approval for Home Health Care Services

140.474 Payment for Home Health Care Services

140.475 Medical Equipment, Supplies, Prosthetic Devices and Orthotic Devices

140.476 Medical Equipment, Supplies, Prosthetic Devices and Orthotic Devices for Which

Payment Will Not Be Made

140.477 Limitations on Equipment, Prosthetic Devices and Orthotic Devices

140.478 Prior Approval for Medical Equipment, Supplies, Prosthetic Devices and Orthotic

Devices

140.479 Limitations, Medical Supplies

140.480 Equipment Rental Limitations

140.481 Payment for Medical Equipment, Supplies, Prosthetic Devices and Hearing Aids

140.482 Family Planning Services

140.483 Limitations on Family Planning Services

140.484 Payment for Family Planning Services

140.485 Healthy Kids Program

140.486 Illinois Healthy Women

140.487 Healthy Kids Program Timeliness Standards

140.488 Periodicity Schedules, Immunizations and Diagnostic Laboratory Procedures

140.490 Medical Transportation

140.491 Medical Transportation Limitations and Authorization Process

140.492 Payment for Medical Transportation

140.493 Payment for Helicopter Transportation

140.494 Record Requirements for Medical Transportation Services

140.495 Psychological Services

140.496 Payment for Psychological Services

140.497 Hearing Aids

140.498 Fingerprint-Based Criminal Background Checks

SUBPART E: GROUP CARE


18



Section

140.500 Long Term Care Services

140.502 Cessation of Payment at Federal Direction

140.503 Cessation of Payment for Improper Level of Care

140.504 Cessation of Payment Because of Termination of Facility

140.505 Informal Hearing Process for Denial of Payment for New ICF/MR

140.506 Provider Voluntary Withdrawal

140.507 Continuation of Provider Agreement

140.510 Determination of Need for Group Care

140.511 Long Term Care Services Covered By Department Payment

140.512 Utilization Control

140.513 Notification of Change in Resident Status

140.514 Certifications and Recertifications of Care (Repealed)

140.515 Management of Recipient Funds – Personal Allowance Funds

140.516 Recipient Management of Funds

140.517 Correspondent Management of Funds

140.518 Facility Management of Funds

140.519 Use or Accumulation of Funds

140.520 Management of Recipient Funds – Local Office Responsibility

140.521 Room and Board Accounts

140.522 Reconciliation of Recipient Funds

140.523 Bed Reserves

140.524 Cessation of Payment Due to Loss of License

140.525 Quality Incentive Program (QUIP) Payment Levels

140.526 County Contribution to Medicaid Reimbursement (Repealed)

140.527 Quality Incentive Survey (Repealed)

140.528 Payment of Quality Incentive (Repealed)

140.529 Reviews (Repealed)

140.530 Basis of Payment for Long Term Care Services

140.531 General Service Costs

140.532 Health Care Costs

140.533 General Administration Costs

140.534 Ownership Costs

140.535 Costs for Interest, Taxes and Rent

140.536 Organization and Pre-Operating Costs

140.537 Payments to Related Organizations


18



140.538 Special Costs

140.539 Reimbursement for Basic Nursing Assistant, Developmental Disabilities Aide,

Basic Child Care Aide and Habilitation Aide Training and Nursing Assistant

Competency Evaluation

140.540 Costs Associated With Nursing Home Care Reform Act and Implementing

Regulations

140.541 Salaries Paid to Owners or Related Parties

140.542 Cost Reports – Filing Requirements

140.543 Time Standards for Filing Cost Reports

140.544 Access to Cost Reports (Repealed)

140.545 Penalty for Failure to File Cost Reports

140.550 Update of Operating Costs

140.551 General Service Costs Updates

140.552 Nursing and Program Costs

140.553 General Administrative Costs Updates

140.554 Component Inflation Index (Repealed)

140.555 Minimum Wage

140.560 Components of the Base Rate Determination

140.561 Support Costs Components

140.562 Nursing Costs

140.563 Capital Costs

140.565 Kosher Kitchen Reimbursement

140.566 Out-of-State Placement

140.567 Level II Incentive Payments (Repealed)

140.568 Duration of Incentive Payments (Repealed)

140.569 Clients With Exceptional Care Needs

140.570 Capital Rate Component Determination

140.571 Capital Rate Calculation

140.572 Total Capital Rate

140.573 Other Capital Provisions

140.574 Capital Rates for Rented Facilities

140.575 Newly Constructed Facilities (Repealed)

140.576 Renovations (Repealed)

140.577 Capital Costs for Rented Facilities (Renumbered)

140.578 Property Taxes

140.579 Specialized Living Centers

140.580 Mandated Capital Improvements (Repealed)


18



140.581 Qualifying as Mandated Capital Improvement (Repealed)

140.582 Cost Adjustments

140.583 Campus Facilities

140.584 Illinois Municipal Retirement Fund (IMRF)

140.590 Audit and Record Requirements

140.642 Screening Assessment for Nursing Facility and Alternative Residential Settings

and Services

140.643 In-Home Care Program

140.645 Home and Community Based Services Waivers for Medically Fragile,

Technology Dependent, Disabled Persons Under Age 21 (Repealed)

140.646 Reimbursement for Developmental Training (DT) Services for Individuals With

Developmental Disabilities Who Reside in Long Term Care (ICF and SNF) and

Residential (ICF/MR) Facilities

140.647 Description of Developmental Training (DT) Services

140.648 Determination of the Amount of Reimbursement for Developmental Training

(DT) Programs

140.649 Effective Dates of Reimbursement for Developmental Training (DT) Programs

140.650 Certification of Developmental Training (DT) Programs

140.651 Decertification of Day Programs

140.652 Terms of Assurances and Contracts

140.680 Effective Date Of Payment Rate

140.700 Discharge of Long Term Care Residents

140.830 Appeals of Rate Determinations

140.835 Determination of Cap on Payments for Long Term Care (Repealed)

SUBPART F: FEDERAL CLAIMING FOR STATE AND

LOCAL GOVERNMENTAL ENTITIES

Section

140.850 Reimbursement of Administrative Expenditures

140.855 Administrative Claim Review and Reconsideration Procedure

140.860 County Owned or Operated Nursing Facilities

140.865 Sponsor Qualifications (Repealed)

140.870 Sponsor Responsibilities (Repealed)

140.875 Department Responsibilities (Repealed)

140.880 Provider Qualifications (Repealed)

140.885 Provider Responsibilities (Repealed)


18



140.890 Payment Methodology (Repealed)

140.895 Contract Monitoring (Repealed)

140.896 Reimbursement For Program Costs (Active Treatment) For Clients in Long Term

Care Facilities For the Developmentally Disabled (Recodified)

140.900 Reimbursement For Nursing Costs For Geriatric Residents in Group Care

Facilities (Recodified)

140.901 Functional Areas of Needs (Recodified)

140.902 Service Needs (Recodified)

140.903 Definitions (Recodified)

140.904 Times and Staff Levels (Repealed)

140.905 Statewide Rates (Repealed)

140.906 Reconsiderations (Recodified)

140.907 Midnight Census Report (Recodified)

140.908 Times and Staff Levels (Recodified)

140.909 Statewide Rates (Recodified)

140.910 Referrals (Recodified)

140.911 Basic Rehabilitation Aide Training Program (Recodified)

140.912 Interim Nursing Rates (Recodified)

SUBPART G: MATERNAL AND CHILD HEALTH PROGRAM

Section

140.920 General Description

140.922 Covered Services

140.924 Maternal and Child Health Provider Participation Requirements

140.926 Client Eligibility (Repealed)

140.928 Client Enrollment and Program Components (Repealed)

140.930 Reimbursement

140.932 Payment Authorization for Referrals (Repealed)

SUBPART H: ILLINOIS COMPETITIVE ACCESS AND

REIMBURSEMENT EQUITY (ICARE) PROGRAM

Section

140.940 Illinois Competitive Access and Reimbursement Equity (ICARE) Program

(Recodified)

140.942 Definition of Terms (Recodified)


18



140.944 Notification of Negotiations (Recodified)

140.946 Hospital Participation in ICARE Program Negotiations (Recodified)

140.948 Negotiation Procedures (Recodified)

140.950 Factors Considered in Awarding ICARE Contracts (Recodified)

140.952 Closing an ICARE Area (Recodified)

140.954 Administrative Review (Recodified)

140.956 Payments to Contracting Hospitals (Recodified)

140.958 Admitting and Clinical Privileges (Recodified)

140.960 Inpatient Hospital Care or Services by Non-Contracting Hospitals Eligible for

Payment (Recodified)

140.962 Payment to Hospitals for Inpatient Services or Care not Provided under the

ICARE Program (Recodified)

140.964 Contract Monitoring (Recodified)

140.966 Transfer of Recipients (Recodified)

140.968 Validity of Contracts (Recodified)

140.970 Termination of ICARE Contracts (Recodified)

140.972 Hospital Services Procurement Advisory Board (Recodified)

140.980 Elimination Of Aid To The Medically Indigent (AMI) Program (Emergency

Expired)

140.982 Elimination Of Hospital Services For Persons Age Eighteen (18) And Older And

Persons Married And Living With Spouse, Regardless Of Age (Emergency

Expired)

SUBPART I: PRIMARY CARE CASE MANAGEMENT PROGRAM

Section

140.990 Primary Care Case Management Program

140.991 Primary Care Provider Participation Requirements

140.992 Populations Eligible to Participate in the Primary Care Case Management

Program

140.993 Care Management Fees

140.994 Panel Size and Affiliated Providers

140.995 Mandatory Enrollment

140.996 Access to Health Care Services

140.997 Payment for Services

SUBPART J: ALTERNATE PAYEE PARTICIPATION


18



Section

140.1001 Registration Conditions for Alternate Payees

140.1002 Participation Requirements for Alternate Payees

140.1003 Recovery of Money for Alternate Payees

140.1004 Conditional Registration for Alternate Payees

140.1005 Revocation of an Alternate Payee

SUBPART K: MANDATORY MCO ENROLLMENT

Section

140.1010 Mandatory Enrollment in MCOs

SUBPART L: UNAUTHORIZED USE OF MEDICAL ASSISTANCE

Section

140.1300 Definitions

140.1310 Recovery of Money

140.1320 Penalties

140.1330 Enforcement

140.TABLE A Criteria for Non-Emergency Ambulance Transportation

140.TABLE B Geographic Areas

140.TABLE C Capital Cost Areas

140.TABLE D Schedule of Dental Procedures

140.TABLE E Time Limits for Processing of Prior Approval Requests

140.TABLE F Podiatry Service Schedule

140.TABLE G Travel Distance Standards

140.TABLE H Areas of Major Life Activity

140.TABLE I Staff Time and Allocation for Training Programs (Recodified)

140.TABLE J Rate Regions

140.TABLE K Services Qualifying for 10% Add-On (Repealed)

140.TABLE L Services Qualifying for 10% Add-On to Surgical Incentive Add-On

(Repealed)

140.TABLE M Enhanced Rates for Maternal and Child Health Provider Services (Repealed)


18



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

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

SOURCE: Adopted at 3 Ill. Reg. 24, p. 166, effective June 10, 1979; rule repealed and new rule

adopted at 6 Ill. Reg. 8374, effective July 6, 1982; emergency amendment at 6 Ill. Reg. 8508,

effective July 6, 1982, for a maximum of 150 days; amended at 7 Ill. Reg. 681, effective

December 30, 1982; amended at 7 Ill. Reg. 7956, effective July 1, 1983; amended at 7 Ill. Reg.

8308, effective July 1, 1983; amended at 7 Ill. Reg. 8271, effective July 5, 1983; emergency

amendment at 7 Ill. Reg. 8354, effective July 5, 1983, for a maximum of 150 days; amended at 7

Ill. Reg. 8540, effective July 15, 1983; amended at 7 Ill. Reg. 9382, effective July 22, 1983;

amended at 7 Ill. Reg. 12868, effective September 20, 1983; peremptory amendment at 7 Ill.

Reg. 15047, effective October 31, 1983; amended at 7 Ill. Reg. 17358, effective December 21,

1983; amended at 8 Ill. Reg. 254, effective December 21, 1983; emergency amendment at 8 Ill.

Reg. 580, effective January 1, 1984, for a maximum of 150 days; codified at 8 Ill. Reg. 2483;

amended at 8 Ill. Reg. 3012, effective February 22, 1984; amended at 8 Ill. Reg. 5262, effective

April 9, 1984; amended at 8 Ill. Reg. 6785, effective April 27, 1984; amended at 8 Ill. Reg. 6983,

effective May 9, 1984; amended at 8 Ill. Reg. 7258, effective May 16, 1984; emergency

amendment at 8 Ill. Reg. 7910, effective May 22, 1984, for a maximum of 150 days; amended at

8 Ill. Reg. 7910, effective June 1, 1984; amended at 8 Ill. Reg. 10032, effective June 18, 1984;

emergency amendment at 8 Ill. Reg. 10062, effective June 20, 1984, for a maximum of 150 days;

amended at 8 Ill. Reg. 13343, effective July 17, 1984; amended at 8 Ill. Reg. 13779, effective

July 24, 1984; Sections 140.72 and 140.73 recodified to 89 Ill. Adm. Code 141 at 8 Ill. Reg.

16354; amended (by adding sections being codified with no substantive change) at 8 Ill. Reg.

17899; peremptory amendment at 8 Ill. Reg. 18151, effective September 18, 1984; amended at 8

Ill. Reg. 21629, effective October 19, 1984; peremptory amendment at 8 Ill. Reg. 21677,

effective October 24, 1984; amended at 8 Ill. Reg. 22097, effective October 24, 1984;

peremptory amendment at 8 Ill. Reg. 22155, effective October 29, 1984; amended at 8 Ill. Reg.

23218, effective November 20, 1984; emergency amendment at 8 Ill. Reg. 23721, effective

November 21, 1984, for a maximum of 150 days; amended at 8 Ill. Reg. 25067, effective

December 19, 1984; emergency amendment at 9 Ill. Reg. 407, effective January 1, 1985, for a

maximum of 150 days; amended at 9 Ill. Reg. 2697, effective February 22, 1985; amended at 9

Ill. Reg. 6235, effective April 19, 1985; amended at 9 Ill. Reg. 8677, effective May 28, 1985;

amended at 9 Ill. Reg. 9564, effective June 5, 1985; amended at 9 Ill. Reg. 10025, effective June

26, 1985; emergency amendment at 9 Ill. Reg. 11403, effective June 27, 1985, for a maximum of

150 days; amended at 9 Ill. Reg. 11357, effective June 28, 1985; amended at 9 Ill. Reg. 12000,

effective July 24, 1985; amended at 9 Ill. Reg. 12306, effective August 5, 1985; amended at 9 Ill.

Reg. 13998, effective September 3, 1985; amended at 9 Ill. Reg. 14684, effective September 13,


18



1985; amended at 9 Ill. Reg. 15503, effective October 4, 1985; amended at 9 Ill. Reg. 16312,

effective October 11, 1985; amended at 9 Ill. Reg. 19138, effective December 2, 1985; amended

at 9 Ill. Reg. 19737, effective December 9, 1985; amended at 10 Ill. Reg. 238, effective

December 27, 1985; emergency amendment at 10 Ill. Reg. 798, effective January 1, 1986, for a

maximum of 150 days; amended at 10 Ill. Reg. 672, effective January 6, 1986; amended at 10 Ill.

Reg. 1206, effective January 13, 1986; amended at 10 Ill. Reg. 3041, effective January 24, 1986;

amended at 10 Ill. Reg. 6981, effective April 16, 1986; amended at 10 Ill. Reg. 7825, effective

April 30, 1986; amended at 10 Ill. Reg. 8128, effective May 7, 1986; emergency amendment at

10 Ill. Reg. 8912, effective May 13, 1986, for a maximum of 150 days; amended at 10 Ill. Reg.

11440, effective June 20, 1986; amended at 10 Ill. Reg. 14714, effective August 27, 1986;

amended at 10 Ill. Reg. 15211, effective September 12, 1986; emergency amendment at 10 Ill.

Reg. 16729, effective September 18, 1986, for a maximum of 150 days; amended at 10 Ill. Reg.

18808, effective October 24, 1986; amended at 10 Ill. Reg. 19742, effective November 12, 1986;

amended at 10 Ill. Reg. 21784, effective December 15, 1986; amended at 11 Ill. Reg. 698,

effective December 19, 1986; amended at 11 Ill. Reg. 1418, effective December 31, 1986;


February 25, 1987; Section 140.71 recodified to 89 Ill. Adm. Code 141 at 11 Ill. Reg. 4302;


April 15, 1987; emergency amendment at 11 Ill. Reg. 9342, effective April 20, 1987, for a

maximum of 150 days; amended at 11 Ill. Reg. 9169, effective April 28, 1987; amended at 11 Ill.

Reg. 10903, effective June 1, 1987; amended at 11 Ill. Reg. 11528, effective June 22, 1987;

amended at 11 Ill. Reg. 12011, effective June 30, 1987; amended at 11 Ill. Reg. 12290, effective

July 6, 1987; amended at 11 Ill. Reg. 14048, effective August 14, 1987; amended at 11 Ill. Reg.

14771, effective August 25, 1987; amended at 11 Ill. Reg. 16758, effective September 28, 1987;

amended at 11 Ill. Reg. 17295, effective September 30, 1987; amended at 11 Ill. Reg. 18696,

effective October 27, 1987; amended at 11 Ill. Reg. 20909, effective December 14, 1987;

amended at 12 Ill. Reg. 916, effective January 1, 1988; emergency amendment at 12 Ill. Reg.

1960, effective January 1, 1988, for a maximum of 150 days; amended at 12 Ill. Reg. 5427,

effective March 15, 1988; amended at 12 Ill. Reg. 6246, effective March 16, 1988; amended at

12 Ill. Reg. 6728, effective March 22, 1988; Sections 140.900 thru 140.912 and 140.Table H and

140.Table I recodified to 89 Ill. Adm. Code 147.5 thru 147.205 and 147.Table A and 147.Table

B at 12 Ill. Reg. 6956; amended at 12 Ill. Reg. 6927, effective April 5, 1988; Sections 140.940

thru 140.972 recodified to 89 Ill. Adm. Code 149.5 thru 149.325 at 12 Ill. Reg. 7401; amended at

12 Ill. Reg. 7695, effective April 21, 1988; amended at 12 Ill. Reg. 10497, effective June 3,

1988; amended at 12 Ill. Reg. 10717, effective June 14, 1988; emergency amendment at 12 Ill.

Reg. 11868, effective July 1, 1988, for a maximum of 150 days; amended at 12 Ill. Reg. 12509,

effective July 15, 1988; amended at 12 Ill. Reg. 14271, effective August 29, 1988; emergency


18



amendment at 12 Ill. Reg. 16921, effective September 28, 1988, for a maximum of 150 days;

amended at 12 Ill. Reg. 16738, effective October 5, 1988; amended at 12 Ill. Reg. 17879,

effective October 24, 1988; amended at 12 Ill. Reg. 18198, effective November 4, 1988;

amended at 12 Ill. Reg. 19396, effective November 6, 1988; amended at 12 Ill. Reg. 19734,

effective November 15, 1988; amended at 13 Ill. Reg. 125, effective January 1, 1989; amended

at 13 Ill. Reg. 2475, effective February 14, 1989; amended at 13 Ill. Reg. 3069, effective

February 28, 1989; amended at 13 Ill. Reg. 3351, effective March 6, 1989; amended at 13 Ill.

Reg. 3917, effective March 17, 1989; amended at 13 Ill. Reg. 5115, effective April 3, 1989;


April 24, 1989; Sections 140.850 thru 140.896 recodified to 89 Ill. Adm. Code 146.5 thru

146.225 at 13 Ill. Reg. 7040; amended at 13 Ill. Reg. 7786, effective May 20, 1989; Sections

140.94 thru 140.398 recodified to 89 Ill. Adm. Code 148.10 thru 148.390 at 13 Ill. Reg. 9572;

emergency amendment at 13 Ill. Reg. 10977, effective July 1, 1989, for a maximum of 150 days;

emergency expired November 28, 1989; amended at 13 Ill. Reg. 11516, effective July 3, 1989;

amended at 13 Ill. Reg. 12119, effective July 7, 1989; Section 140.110 recodified to 89 Ill. Adm.

Code 148.120 at 13 Ill. Reg. 12118; amended at 13 Ill. Reg. 12562, effective July 17, 1989;

amended at 13 Ill. Reg. 14391, effective August 31, 1989; emergency amendment at 13 Ill. Reg.

15473, effective September 12, 1989, for a maximum of 150 days; amended at 13 Ill. Reg.

16992, effective October 16, 1989; amended at 14 Ill. Reg. 190, effective December 21, 1989;

amended at 14 Ill. Reg. 2564, effective February 9, 1990; emergency amendment at 14 Ill. Reg.

3241, effective February 14, 1990, for a maximum of 150 days; emergency expired July 14,

1990; amended at 14 Ill. Reg. 4543, effective March 12, 1990; emergency amendment at 14 Ill.

Reg. 4577, effective March 6, 1990, for a maximum of 150 days; emergency expired August 3,

1990; emergency amendment at 14 Ill. Reg. 5575, effective April 1, 1990, for a maximum of 150

days; emergency expired August 29, 1990; emergency amendment at 14 Ill. Reg. 5865, effective

April 3, 1990, for a maximum of 150 days; amended at 14 Ill. Reg. 7141, effective April 27,

1990; emergency amendment at 14 Ill. Reg. 7249, effective April 27, 1990, for a maximum of

150 days; amended at 14 Ill. Reg. 10062, effective June 12, 1990; amended at 14 Ill. Reg. 10409,

effective June 19, 1990; emergency amendment at 14 Ill. Reg. 12082, effective July 5, 1990, for

a maximum of 150 days; amended at 14 Ill. Reg. 13262, effective August 6, 1990; emergency

amendment at 14 Ill. Reg. 14184, effective August 16, 1990, for a maximum of 150 days;

emergency amendment at 14 Ill. Reg. 14570, effective August 22, 1990, for a maximum of 150

days; amended at 14 Ill. Reg. 14826, effective August 31, 1990; amended at 14 Ill. Reg. 15366,

effective September 12, 1990; amended at 14 Ill. Reg. 15981, effective September 21, 1990;


effective October 22, 1990; amended at 14 Ill. Reg. 18508, effective October 30, 1990; amended

at 14 Ill. Reg. 18813, effective November 6, 1990; Notice of Corrections to Adopted


18



Amendment at 15 Ill. Reg. 1174; amended at 14 Ill. Reg. 20478, effective December 7, 1990;


effective December 28, 1990; emergency amendment at 15 Ill. Reg. 592, effective January 1,

1991, for a maximum of 150 days; amended at 15 Ill. Reg. 1051, effective January 18, 1991;


April 30, 1991; amended at 15 Ill. Reg. 8264, effective May 23, 1991; amended at 15 Ill. Reg.

8972, effective June 17, 1991; amended at 15 Ill. Reg. 10114, effective June 21, 1991; amended

at 15 Ill. Reg. 10468, effective July 1, 1991; amended at 15 Ill. Reg. 11176, effective August 1,

1991; emergency amendment at 15 Ill. Reg. 11515, effective July 25, 1991, for a maximum of

150 days; emergency expired December 22, 1991; emergency amendment at 15 Ill. Reg. 12919,

effective August 15, 1991, for a maximum of 150 days; emergency expired January 12, 1992;

emergency amendment at 15 Ill. Reg. 16366, effective October 22, 1991, for a maximum of 150

days; amended at 15 Ill. Reg. 17318, effective November 18, 1991; amended at 15 Ill. Reg.

17733, effective November 22, 1991; emergency amendment at 16 Ill. Reg. 300, effective

December 20, 1991, for a maximum of 150 days; amended at 16 Ill. Reg. 174, effective

December 24, 1991; amended at 16 Ill. Reg. 1877, effective January 24, 1992; amended at 16 Ill.

Reg. 3552, effective February 28, 1992; amended at 16 Ill. Reg. 4006, effective March 6, 1992;

amended at 16 Ill. Reg. 6408, effective March 20, 1992; expedited correction at 16 Ill. Reg.

11348, effective March 20, 1992; amended at 16 Ill. Reg. 6849, effective April 7, 1992; amended

at 16 Ill. Reg. 7017, effective April 17, 1992; amended at 16 Ill. Reg. 10050, effective June 5,

1992; amended at 16 Ill. Reg. 11174, effective June 26, 1992; emergency amendment at 16 Ill.

Reg. 11947, effective July 10, 1992, for a maximum of 150 days; amended at 16 Ill. Reg. 12186,

effective July 24, 1992; emergency amendment at 16 Ill. Reg. 13337, effective August 14, 1992,

for a maximum of 150 days; emergency amendment at 16 Ill. Reg. 15109, effective September

21, 1992, for a maximum of 150 days; amended at 16 Ill. Reg. 15561, effective September 30,

1992; amended at 16 Ill. Reg. 17302, effective November 2, 1992; emergency amendment at 16

Ill. Reg. 18097, effective November 17, 1992, for a maximum of 150 days; amended at 16 Ill.

Reg. 19146, effective December 1, 1992; expedited correction at 17 Ill. Reg. 7078, effective

December 1, 1992; amended at 16 Ill. Reg. 19879, effective December 7, 1992; amended at 17

Ill. Reg. 837, effective January 11, 1993; amended at 17 Ill. Reg. 1112, effective January 15,

1993; amended at 17 Ill. Reg. 2290, effective February 15, 1993; amended at 17 Ill. Reg. 2951,

effective February 17, 1993; amended at 17 Ill. Reg. 3421, effective February 19, 1993; amended

at 17 Ill. Reg. 6196, effective April 5, 1993; amended at 17 Ill. Reg. 6839, effective April 21,

1993; amended at 17 Ill. Reg. 7004, effective May 17, 1993; emergency amendment at 17 Ill.

Reg. 11201, effective July 1, 1993, for a maximum of 150 days; emergency amendment at 17 Ill.

Reg. 15162, effective September 2, 1993, for a maximum of 150 days; emergency amendment

suspended at 17 Ill. Reg. 18902, effective October 12, 1993; emergency amendment at 17 Ill.


18



Reg. 18152, effective October 1, 1993, for a maximum of 150 days; amended at 17 Ill. Reg.

18571, effective October 8, 1993; emergency amendment at 17 Ill. Reg. 18611, effective October

1, 1993, for a maximum of 150 days; amended at 17 Ill. Reg. 20999, effective November 24,

1993; emergency amendment repealed at 17 Ill. Reg. 22583, effective December 20, 1993;

amended at 18 Ill. Reg. 3620, effective February 28, 1994; amended at 18 Ill. Reg. 4250,

effective March 4, 1994; amended at 18 Ill. Reg. 5951, effective April 1, 1994; emergency

amendment at 18 Ill. Reg. 10922, effective July 1, 1994, for a maximum of 150 days; emergency

amendment suspended at 18 Ill. Reg. 17286, effective November 15, 1994; emergency

amendment repealed at 19 Ill. Reg. 5839, effective April 4, 1995; amended at 18 Ill. Reg. 11244,

effective July 1, 1994; amended at 18 Ill. Reg. 14126, effective August 29, 1994; amended at 18

Ill. Reg. 16675, effective November 1, 1994; amended at 18 Ill. Reg. 18059, effective December

19, 1994; amended at 19 Ill. Reg. 1082, effective January 20, 1995; amended at 19 Ill. Reg.

2933, effective March 1, 1995; emergency amendment at 19 Ill. Reg. 3529, effective March 1,

1995, for a maximum of 150 days; amended at 19 Ill. Reg. 5663, effective April 1, 1995;

amended at 19 Ill. Reg. 7919, effective June 5, 1995; emergency amendment at 19 Ill. Reg. 8455,

effective June 9, 1995, for a maximum of 150 days; emergency amendment at 19 Ill. Reg. 9297,

effective July 1, 1995, for a maximum of 150 days; emergency amendment at 19 Ill. Reg. 10252,


September 5, 1995; amended at 19 Ill. Reg. 14440, effective September 29, 1995; emergency

amendment at 19 Ill. Reg. 14833, effective October 6, 1995, for a maximum of 150 days;


effective November 6, 1995; amended at 19 Ill. Reg. 16677, effective November 28, 1995;


effective March 4, 1996; amended at 20 Ill. Reg. 5858, effective April 5, 1996; amended at 20

Ill. Reg. 6929, effective May 6, 1996; amended at 20 Ill. Reg. 7922, effective May 31, 1996;

amended at 20 Ill. Reg. 9081, effective June 28, 1996; emergency amendment at 20 Ill. Reg.

9312, effective July 1, 1996, for a maximum of 150 days; amended at 20 Ill. Reg. 11332,

effective August 1, 1996; amended at 20 Ill. Reg. 14845, effective October 31, 1996; emergency

amendment at 21 Ill. Reg. 705, effective December 31, 1996, for a maximum of 150 days;

emergency amendment at 21 Ill. Reg. 3734, effective March 5, 1997, for a maximum of 150

days; amended at 21 Ill. Reg. 4777, effective April 2, 1997; amended at 21 Ill. Reg. 6899,

effective May 23, 1997; amended at 21 Ill. Reg. 9763, effective July 15, 1997; amended at 21 Ill.

Reg. 11569, effective August 1, 1997; emergency amendment at 21 Ill. Reg. 13857, effective

October 1, 1997, for a maximum of 150 days; amended at 22 Ill. Reg. 1416, effective December

29, 1997; amended at 22 Ill. Reg. 4412, effective February 27, 1998; amended at 22 Ill. Reg.

7024, effective April 1, 1998; amended at 22 Ill. Reg. 10606, effective June 1, 1998; emergency

amendment at 22 Ill. Reg. 13117, effective July 1, 1998, for a maximum of 150 days; amended at


18



22 Ill. Reg. 16302, effective August 28, 1998; amended at 22 Ill. Reg. 18979, effective

September 30, 1998; amended at 22 Ill. Reg. 19898, effective October 30, 1998; emergency

amendment at 22 Ill. Reg. 22108, effective December 1, 1998, for a maximum of 150 days;

emergency expired April 29, 1999; amended at 23 Ill. Reg. 5796, effective April 30, 1999;

amended at 23 Ill. Reg. 7122, effective June 1, 1999; emergency amendment at 23 Ill. Reg. 8236,


August 3, 1999; amended at 23 Ill. Reg. 12697, effective October 1, 1999; amended at 23 Ill.

Reg. 13646, effective November 1, 1999; amended at 23 Ill. Reg. 14567, effective December 1,

1999; amended at 24 Ill. Reg. 661, effective January 3, 2000; amended at 24 Ill. Reg. 10277,

effective July 1, 2000; emergency amendment at 24 Ill. Reg. 10436, effective July 1, 2000, for a

maximum of 150 days; amended at 24 Ill. Reg. 15086, effective October 1, 2000; amended at 24

Ill. Reg. 18320, effective December 1, 2000; emergency amendment at 24 Ill. Reg. 19344,

effective December 15, 2000, for a maximum of 150 days; amended at 25 Ill. Reg. 3897,

effective March 1, 2001; amended at 25 Ill. Reg. 6665, effective May 11, 2001; amended at 25

Ill. Reg. 8793, effective July 1, 2001; emergency amendment at 25 Ill. Reg. 8850, effective July

1, 2001, for a maximum of 150 days; amended at 25 Ill. Reg. 11880, effective September 1,

2001; amended at 25 Ill. Reg. 12820, effective October 8, 2001; amended at 25 Ill. Reg. 14957,

effective November 1, 2001; emergency amendment at 25 Ill. Reg. 16127, effective November

28, 2001, for a maximum of 150 days; emergency amendment at 25 Ill. Reg. 16292, effective

December 3, 2001, for a maximum of 150 days; emergency amendment at 26 Ill. Reg. 514,

effective January 1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg. 663, effective

January 7, 2002; amended at 26 Ill. Reg. 4781, effective March 15, 2002; emergency amendment

at 26 Ill. Reg. 5984, effective April 15, 2002, for a maximum of 150 days; amended at 26 Ill.

Reg. 7285, effective April 29, 2002; emergency amendment at 26 Ill. Reg. 8594, effective June

1, 2002, for a maximum of 150 days; emergency amendment at 26 Ill. Reg. 11259, effective July

1, 2002, for a maximum of 150 days; emergency amendment at 26 Ill. Reg. 12461, effective July

29, 2002, for a maximum of 150 days; emergency amendment repealed at 26 Ill. Reg. 16593,

effective October 22, 2002; emergency amendment at 26 Ill. Reg. 12772, effective August 12,

2002, for a maximum of 150 days; amended at 26 Ill. Reg. 13641, effective September 3, 2002;

amended at 26 Ill. Reg. 14789, effective September 26, 2002; emergency amendment at 26 Ill.

Reg. 15076, effective October 1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg.

16303, effective October 25, 2002; amended at 26 Ill. Reg. 17751, effective November 27, 2002;


February 10, 2003; amended at 27 Ill. Reg. 4364, effective February 24, 2003; amended at 27 Ill.

Reg. 7823, effective May 1, 2003; amended at 27 Ill. Reg. 9157, effective June 2, 2003;

emergency amendment at 27 Ill. Reg. 10813, effective July 1, 2003, for a maximum of 150 days;

amended at 27 Ill. Reg. 13784, effective August 1, 2003; amended at 27 Ill. Reg. 14799,


18



effective September 5, 2003; emergency amendment at 27 Ill. Reg. 15584, effective September

20, 2003, for a maximum of 150 days; emergency amendment at 27 Ill. Reg. 16161, effective

October 1, 2003, for a maximum of 150 days; amended at 27 Ill. Reg. 18629, effective

November 26, 2003; amended at 28 Ill. Reg. 2744, effective February 1, 2004; amended at 28 Ill.

Reg. 4958, effective March 3, 2004; emergency amendment at 28 Ill. Reg. 6622, effective April

19, 2004, for a maximum of 150 days; amended at 28 Ill. Reg. 7081, effective May 3, 2004;

emergency amendment at 28 Ill. Reg. 8108, effective June 1, 2004, for a maximum of 150 days;

amended at 28 Ill. Reg. 9640, effective July 1, 2004; emergency amendment at 28 Ill. Reg.

10135, effective July 1, 2004, for a maximum of 150 days; amended at 28 Ill. Reg. 11161,

effective August 1, 2004; emergency amendment at 28 Ill. Reg. 12198, effective August 11,

2004, for a maximum of 150 days; amended at 28 Ill. Reg. 13775, effective October 1, 2004;


effective November 24, 2004; amended at 29 Ill. Reg. 831, effective January 1, 2005; amended

at 29 Ill. Reg. 6945, effective May 1, 2005; emergency amendment at 29 Ill. Reg. 8509, effective

June 1, 2005, for a maximum of 150 days; emergency amendment at 29 Ill. Reg. 12534, effective

August 1, 2005, for a maximum of 150 days; amended at 29 Ill. Reg. 14957, effective September

30, 2005; emergency amendment at 29 Ill. Reg. 15064, effective October 1, 2005, for a

maximum of 150 days; emergency amendment repealed by emergency rulemaking at 29 Ill. Reg.

15985, effective October 5, 2005, for the remainder of the 150 days; emergency amendment at

29 Ill. Reg. 15610, effective October 1, 2005, for a maximum of 150 days; emergency

amendment at 29 Ill. Reg. 16515, effective October 5, 2005, for a maximum of 150 days;

amended at 30 Ill. Reg. 349, effective December 28, 2005; emergency amendment at 30 Ill. Reg.

573, effective January 1, 2006, for a maximum of 150 days; amended at 30 Ill. Reg. 796,

effective January 1, 2006; amended at 30 Ill. Reg. 2802, effective February 24, 2006; amended at

30 Ill. Reg. 10370, effective May 26, 2006; emergency amendment at 30 Ill. Reg. 12376,

effective July 1, 2006, for a maximum of 150 days; emergency amendment at 30 Ill. Reg. 13909,

effective August 2, 2006, for a maximum of 150 days; amended at 30 Ill. Reg. 14280, effective

August 18, 2006; expedited correction at 31 Ill. Reg. 1745, effective August 18, 2006;

emergency amendment at 30 Ill. Reg. 17970, effective November 1, 2006, for a maximum of 150

days; amended at 30 Ill. Reg. 18648, effective November 27, 2006; emergency amendment at 30

Ill. Reg. 19400, effective December 1, 2006, for a maximum of 150 days; amended at 31 Ill.

Reg. 388, effective December 29, 2006; emergency amendment at 31 Ill. Reg. 1580, effective

January 1, 2007, for a maximum of 150 days; amended at 31 Ill. Reg. 2413, effective January 19,

2007; amended at 31 Ill. Reg. 5561, effective March 30, 2007; amended at 31 Ill. Reg. 6930,

effective April 29, 2007; amended at 31 Ill. Reg. 8485, effective May 30, 2007; emergency

amendment at 31 Ill. Reg. 10115, effective June 30, 2007, for a maximum of 150 days; amended

at 31 Ill. Reg. 14749, effective October 22, 2007; emergency amendment at 32 Ill. Reg. 383,


18



effective January 1, 2008, for a maximum of 150 days; peremptory amendment at 32 Ill. Reg.

6743, effective April 1, 2008; peremptory amendment suspended at 32 Ill. Reg. 8449, effective

May 21, 2008; suspension withdrawn by the Joint Committee on Administrative Rules at 32 Ill.

Reg. 18323, effective November 12, 2008; peremptory amendment repealed by emergency

rulemaking at 32 Ill. Reg. 18422, effective November 12, 2008, for a maximum of 150 days;

emergency expired April 10, 2009; peremptory amendment repealed at 33 Ill. Reg. 6667,

effective April 29, 2009; amended at 32 Ill. Reg. 7727, effective May 5, 2008; emergency

amendment at 32 Ill. Reg. 10480, effective July 1, 2008, for a maximum of 150 days; emergency

expired November 27, 2008; amended at 32 Ill. Reg. 17133, effective October 15, 2008;


effective June 15, 2009; emergency amendment at 33 Ill. Reg. 10800, effective June 30, 2009,

for a maximum of 150 days; amended at 33 Ill. Reg. 11287, effective July 14, 2009; amended at

33 Ill. Reg. 11938, effective August 17, 2009; amended at 33 Ill. Reg. 12227, effective October

1, 2009; emergency amendment at 33 Ill. Reg. 14324, effective October 1, 2009, for a maximum

of 150 days; emergency expired February 27, 2010; amended at 33 Ill. Reg. 16573, effective

November 16, 2009; amended at 34 Ill. Reg. 516, effective January 1, 2010; amended at 34 Ill.

Reg. 903, effective January 29, 2010; amended at 34 Ill. Reg. 3761, effective March 14, 2010;


December 6, 2010; amended at 35 Ill. Reg. 394, effective December 27, 2010; amended at 35 Ill.

Reg. 7648, effective May 1, 2011; amended at 35 Ill. Reg. 7962, effective May 1, 2011;


July 25, 2011; amended at 36 Ill. Reg. 2271, effective February 1, 2012; amended at 36 Ill. Reg.

7010, effective April 27, 2012; amended at 36 Ill. Reg. 7545, effective May 7, 2012; amended at

36 Ill. Reg. 9113, effective June 11, 2012; emergency amendment at 36 Ill. Reg. 11329, effective

July 1, 2012 through June 30, 2013; emergency amendment to Section 140.442(e)(4) suspended

at 36 Ill. Reg. 13736, effective August 15, 2012; suspension withdrawn from Section

140.442(e)(4) at 36 Ill. Reg. 14529, September 11, 2012; emergency amendment in response to

Joint Committee on Administrative Rules action on Section 140.442(e)(4) at 36 Ill. Reg. 14820,

effective September 21, 2012 through June 30, 2013; emergency amendment to Section 140.491

suspended at 36 Ill. Reg. 13738, effective August 15, 2012; suspension withdrawn by the Joint

Committee on Administrative Rules from Section 140.491 at 37 Ill. Reg. 890, January 8, 2013;

emergency amendment in response to Joint Committee on Administrative Rules action on

Section 140.491 at 37 Ill. Reg. 1330, effective January 15, 2013 through June 30, 2013; amended

at 36 Ill. Reg. 15361, effective October 15, 2012; emergency amendment at 37 Ill. Reg. 253,

effective January 1, 2013 through June 30, 2013; emergency amendment at 37 Ill. Reg. 846,




18



effective February 1, 2013 through June 30, 2013; amended at 37 Ill. Reg. 3831, effective March

13, 2013; emergency amendment at 37 Ill. Reg. 5058, effective April 1, 2013 through June 30,

2013; emergency amendment at 37 Ill. Reg. 5170, effective April 8, 2013 through June 30, 2013;


May 29, 2013; amended at 37 Ill. Reg. 10282, effective June 27, 2013; amended at 37 Ill. Reg.

12855, effective July 24, 2013; emergency amendment at 37 Ill. Reg. 14196, effective August

20, 2013, for a maximum of 150 days; amended at 37 Ill. Reg. 17584, effective October 23,

2013; amended at 37 Ill. Reg. 18275, effective November 4, 2013; amended at 37 Ill. Reg.

20339, effective December 9, 2013; amended at 38 Ill. Reg. 859, effective December 23, 2013;

emergency amendment at 38 Ill. Reg. 1174, effective January 1, 2014, for a maximum of 150

days; amended at 38 Ill. Reg. 4330, effective January 29, 2014; amended at 38 Ill. Reg. 7156,

effective March 13, 2014; amended at 38 Ill. Reg. 12141, effective May 30, 2014; amended at 38

Ill. Reg. 15081, effective July 2, 2014; emergency amendment at 38 Ill. Reg. 15673, effective

July 7, 2014, for a maximum of 150 days; emergency amendment at 38 Ill. Reg. 18216, effective

August 18, 2014, for a maximum of 150 days; amended at 38 Ill. Reg. 18462, effective August

19, 2014; amended at 38 Ill. Reg. 23623, effective December 2, 2014; amended at 39 Ill. Reg.

4394, effective March 11, 2015; emergency amendment at 39 Ill. Reg. 6903, effective May 1,

2015 through June 30, 2015; emergency amendment at 39 Ill. Reg. 8137, effective May 20,

2015, for a maximum of 150 days; emergency amendment at 39 Ill. Reg. 10427, effective July

10, 2015, for a maximum of 150 days; emergency expired December 6, 2015; amended at 39 Ill.

Reg. 12825, effective September 4, 2015; amended at 39 Ill. Reg. 13380, effective September

25, 2015; amended at 39 Ill. Reg. 14138, effective October 14, 2015; emergency amendment at

40 Ill. Reg. 13677, effective September 16, 2016, for a maximum of 150 days; emergency

expired February 12, 2017; amended at 41 Ill. Reg. 999, effective January 19, 2017; amended at

41 Ill. Reg. 3296, effective March 8, 2017; amended at 41 Ill. Reg. 7526, effective June 15,

2017; amended at 41 Ill. Reg. 10950, effective August 9, 2017; amended at 42 Ill. Reg. ______,

effective ____________.

SUBPART D: PAYMENT FOR NON-INSTITUTIONAL SERVICES

Section 140.417 Limitations on Optometric Services

Payment for the following optometric services and materials shall be made subject to the

following limitations:

a) Payment shall be made for single vision lenses only when the following

conditions are met:


18



1) The power is at least 0.75 diopters in either the sphere or cylinder

component; or

2) The difference between the old and new prescription is at least 0.75

diopters in either the sphere or cylinder component.

b) Payment shall be made for bifocal lenses only when the following conditions are

met:

1) For first bifocals, the power of the bifocal addition is at least 1.00 diopter.

2) For a change in bifocal lenses, the power of the bifocal addition is changed

by at least 0.50 diopters or the distance power represents a change of at

least 0.75 diopters.

c) Payment shall be made for more than one examination per year only when the

vendor documents the need for the additional examination.

d) Effective July 1, 2012, payment shall be made for the following:

1) Oneone pair of eyeglasses or set of lenses for adults in a 24-month period.

Effective August 18, 2017, adults 21 years of age and older may receive

an additional pair of eyeglasses or set of lenses within the 24-month period

if the patient has had a surgical procedure that necessitates a new pair.

2) Payment shall be made for more than one pair of eyeglasses or set of

lenses per year for children through age 20 only when the physician or

optometrist documents:

A1) that:

iA) the most recent pair of eyeglasses or set of lenses was lost

or destroyed for reasons beyond the control of the recipient;

or

iiB) there is a change in the prescription that meets the


18



requirements in subsection (a)(2) or (b)(2); and

B2) that the additional pair is medically necessary.

e) Payment for optometric materials dispensed by a supplier other than a physician

or optometrist, except for replacement and repair items, shall be made only when

they are prescribed by a licensed physician or optometrist.

f) Effective July 1, 2012, prior approval pursuant to Section 140.40 is required for

the services and materials described in this subsection (f). Approval shall be

given when, in the judgment of a Department consultant, the requested item or

service is appropriate.

1) Contact lenses and related contact lens services;

2) Custom made artificial eyes;

3) Low vision devices; and

4) Any item or service not specifically included in the schedule of procedures

for optical services and supplies; and.

5) An additional pair of eyeglasses or set of lenses within a 24-month period

for adults 21 years of age and older after eye surgery.



18

DEPARTMENT OF INSURANCE


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



904.50 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 changes are being

made to adjust to the evolution of fidelity and surety bonds being written on a claims

made basis rather than an occurrence basis. Also, the amounts of coverage are being

transitioned to follow the NAIC examination guidelines.

The main issue has been that the rule requires a one year discovery period, which was a

common element when these bonds were written on an occurrence basis. Currently and

for a number of years now these bonds have been written on a "discovery" or claims

made basis, which renders the "discovery period" language moot. With the change to a

"discovery" basis any claim, which comes in while the bond is in effect will be covered

by the surety bond.

The changes to the deductibles and amounts of coverage have been repealed so that the

NAIC examination guidance can be used instead. The self insurance provisions are being

repealed as it is the DOI's observation that most companies are obtaining these bonds

from other companies and we believe best practice for risk management would be to

place this risk with another insurance company.

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

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

None





18




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

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

additional expenditures from local revenues.

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

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

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

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


C) Types of professional skills necessary for compliance: None

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

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


18



TITLE 50: INSURANCE

CHAPTER I: DEPARTMENT OF INSURANCE

SUBCHAPTER l: PROVISIONS APPLICABLE TO ALL COMPANIES

PART 904

INTERNAL SECURITY STANDARD AND FIDELITY BONDS

Section

904.5 Authority and Purpose

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 5/401].

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 904.50 Bond Requirements

a) All companies shall procure and maintain in force surety bonds on employees,

officers or positions outlined in this Part and in accordance with guidance

provided by the National Association of Insurance Commissioners (NAIC)

Financial Condition Examiners' Handbook.in an amount not less than the amount

set forth in the column in subsection (d) headed "Minimum Amount of Bond",

based on the amount of admitted assets of the company (as determined from year

to year) stated in the annual statement of the company as filed with the

Department. All surety bonds shall be written on a form that provides coverage

on a discovery basis. All such bondswith at least a one year discovery period or,

if written with less than a 3 year discovery period, shall contain a provision that

no cancellation or termination of the bond, whether by or at the request of the


18



insured or by the underwriter, shall take effect prior to the expiration of 90 days

after written notice of cancellation or termination has been filed with the

Department unless an earlier date of cancellation or termination is approved by

the Department.

b) Surety bonds required by this Section shall include all employees, officers or

positions for the following perils, which may be covered under separate policies:

1) Dishonesty of employees and officers;

2) Robbery, burglary, larceny, theft, false pretense, holdup, misplacement,

mysterious disappearance, and damage or destruction while property is in

any bank or any recognized place of safe deposit, or in transit;

3) Forgery or alteration.

c) Deductible

1) A surety bond may be written under a deductible form, the amount of the

deductible to be not more than the greater of:

A) .5% of the capital and surplus, if a stock company, and, if a

company other than stock, its surplus over all liabilities (as

determined from year to year) stated in the annual statement of the

company filed with the Department; or

B) 10% of the total bond requirement provided in subsection (a).

2) Provided, however, the deductible amount shall not in any case exceed

$500,000.

d) If the total bond requirement of a company under subsection (a) is in excess of

$100,000, the excess may be written on an excess of loss basis to cover only the

peril of dishonesty and may be limited to cover the following officers or

employees:

1) All officers and employees authorized by the Board of Directors to act


18



under the terms and provisions of Section 904.20 of this Part;

TOTAL ADMITTED

ASSETS

MINIMUM AMOUNT OF BOND

Under $100,000

$2,000 plus 8% of total assets

MORE THAN

BUT NOT

MORE THAN

$ 100,000 $ 600,000 $ 10,000 plus 4% of assets over $ 100,000

600,000 1,200,000 30,000 plus 3⅓% of assets over 600,000

1,200,000 3,200,000 50,000 plus 2½% of assets over 1,200,000

3,200,000 4,450,000 100,000 plus 2% of assets over 3,200,000

4,450,000 6,450,000 125,000 plus 1¼% of assets over 4,450,000

6,450,000 90,450,000 150,000 plus ⅝% of assets over 6,450,000

90,450,000 350,450,000 675,000 plus ⅜% of assets over 90,450,000

350,450,000 1,070,450,000 1,625,000 plus 3/16% of assets over 350,450,000

1,070,450,000 ––––– 3,075,000 plus 3/32% of assets over 1,070,450,000

until total bond equals $5,000,000.

2) Officers and employees authorized by the Board of Directors to act under

the terms of Section 904.30, except that one or more of the employees of

this category may be excluded by action of the Board of Directors;

3) Other officers or employees as may be included in the resolution of the

Board of Directors authorizing the procurement of coverage on the excess

of loss basis.

e) Surety bonds covering affiliated and/or subsidiary companies substantially under

the same management and control may be written to cover the affiliated and/or

subsidiary companies jointly. The total admitted assets of the affiliated and/or

subsidiary company having the largest total admitted assets shall be used in

calculating the amount of surety cover required under subsection (a).

cf) Surety bonds for any company shall not be procured by the company from

affiliated and/or subsidiary companies substantially under the same management

and control as the company being bonded.


18



g) Notwithstanding any other provision of this Section, a company may elect to self

insure the required surety bond if:

1) the company has, and maintains at all times while self insured, net

admitted assets, in excess of all reserves and other liabilities, of more than

$25,000,000;

2) the self insurance does not cover any officer or director of the company;

3) the total number of employees covered under the self insurance is not

more than 1% of the employees of the company, exclusive of all officers

and directors; and

4) the self insurance is evidenced by a "Certificate of Self Insurance" in an

appropriate form, specifically setting forth the liabilities and

responsibilities of the company in accordance with this Section and

including an addendum setting forth, by name or position, each employee

covered, at any time, under the self insurance.



18


NOTICE OF ADOPTED AMENDMENT

1) Heading of the Part: Dual Credit Courses


3) Section Number: Adopted Action:

1009.30 Amendment

4) Statutory Authority: Dual Credit Quality Act [110 ILCS 27]

5) Effective Date of Rule: December 19, 2017


7) Does this rulemaking contain incorporations by reference? The rulemaking does not

include incorporation by reference pursuant to Section 5-75 of the Illinois Administrative

Procedure Act.

8) A copy of the adopted rulemaking is on file in the Board of Higher Education's office and

is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 7259; July 30, 2017

10) Has JCAR issued a Statement of Objection to this rulemaking? No

11) Differences between Proposal and Final Version: None

12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the

agreements issued by JCAR? None were made.



15) Summary and Purpose of Rulemaking: This is Part of a project by the Academic Affairs

Committee created by the Board to align, where relevant, the administrative rules

governing the oversight of public and non-public institutions of higher education. The


18



amendment to Section 1009.30 aligns the qualifications for teachers of dual credit

courses with related rules.

16) Information and questions regarding this adopted rule shall be directed to:





217/557-7358


fax: 217/782-8548

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


18






PART 1009

DUAL CREDIT COURSES

Section

1009.10 Purpose

1009.20 Definitions

1009.30 Institution Approval Requirements

1009.40 Application for Approval

1009.50 Reporting Requirements

1009.60 Concurrent Credit

1009.70 Board Review

1009.80 Revocation of Authority

AUTHORITY: Implementing and authorized by the Dual Credit Quality Act [110 ILCS 27].

SOURCE: Adopted at 39 Ill. Reg. 14018, effective October 7, 2015; amended at 42 Ill. Reg. 59,

effective December 19, 2017.

Section 1009.30 Institution Approval Requirements

a) In order to be approved to offer dual credit courses in Illinois, an institution must

maintain the following standards:

1) State Laws and Regulations and Accreditation Standards

A) Institutions must have operating authority, in the Higher Education

Region in which coursework will be offered, under BHE rules (23

Ill. Adm. Code 1030 (Program Review (Private Colleges and

Universities)) for private colleges and universities and 23 Ill. Adm.

Code 1050 (Approval of New Units of Instruction, Research and

Public Service at Public Institutions) for public universities).


18



B) Institutions must provide evidence of accreditation by a body

recognized by the U.S. Department of Education and/or the

Council for Higher Education Accreditation.

C) Institutions must comply with all State laws, State agency

regulations, accreditation standards, and institution policies that

apply to courses and instructional procedures.

D) All academic standards at the college or university must apply to

college-level courses offered by the institution on campus, at off-

campus sites, and at secondary schools.

E) These policies, regulations, instructional procedures and academic

standards apply to students, faculty and staff associated with these

courses.

2) Faculty

A) The instructors for these courses shall be selected, assigned and

evaluated by the college or university. They shall be selected from

individuals with appropriate credentials and demonstrated teaching

competencies at the college level.

i) For transfer courses, these qualifications include a

minimum of a Master's degree with 18 graduate hours

appropriate to the academic field or discipline in which

they are teaching.

ii) For Career and Technical Education (CTE) courses, these

qualifications include 2,000 hours of work experience and

the appropriate recognizable credential depending on the

specific field.

iii) Exceptions may be made for professional experience,

equivalent training and other qualifications; however, these

should be the exceptions and not the rule in meeting faculty


18



qualification requirements. These exceptions for faculty

may be reviewed by the Board staff.

B) Institutions shall provide high school instructors with an

orientation in course curriculum, assessment methods, and

administrative requirements before high school instructors are

permitted to teach dual credit courses (Section 20 of the Act).

C) Dual credit instructors must be given the opportunity to participate

in all activities available to other adjunct faculty, including

professional development, seminars, site visits, and internal

communication, provided that such opportunities do not interfere

with an instructor's regular teaching duties (Section 20 of the

Act).

3) Qualification of Students

A) Students accepted for enrollment in college-level courses must

have appropriate academic qualifications, a high level of

motivation, and adequate time to devote to studying a college-level

course.

B) Students shall select dual credit courses in consultation with high

school counselors and/or principals and participation is restricted

to those who are able to demonstrate readiness for college-level

work, as determined by placement procedures consistent with

those that would be used with college-level students at the offering

institution of higher education.

C) Students shall meet all college criteria and follow all college or

university procedures for enrolling in courses.

4) Placement Testing and Prerequisites

High school students enrolling in college-level courses must satisfy course

placement tests or course prerequisites established and administered by the

college or university, when applicable, to ensure that they have the same

qualifications and preparation as other college students.


18



5) Course Offerings

Institutions shall offer for dual credit only coursework that is also offered

on campus. Courses must have been articulated with at least three

regionally-accredited Illinois universities.

6) Course Requirements

A) The content of each dual credit course shall be the same as courses

offered on campus and at other off-campus sites and shall contain

the same content as the master course that has been articulated

with coursework at Illinois institutions.

B) Course prerequisites, descriptions, outlines, requirements, learning

outcomes and methods of evaluating students shall be the same as

for on-campus offerings.

C) Every dual credit course must be reviewed annually by faculty

through the appropriate college or university department to ensure

consistency with campus courses (Section 20 of the Act).

7) Publications and Information

Higher education institutions offering dual credit courses must provide

students with catalog information including: course descriptions, course

prerequisites, enrollment and admissions processes, course costs, fail and

repeatability policies, transcripts and records information, and information

about situations in which earned credits will be accepted.

8) Distance Education

A) The institution must provide students, faculty and staff with

effective technical support and training for any educational

technology hardware, software and delivery system that will be

used.


18



B) The help desk function must be available to students during hours

when it is likely to be needed, which shall be, at a minimum, 18

hours a day.

C) Appropriate admissions processes, policies and assessments must

be used to ensure that students are capable of succeeding in an

online environment and that students are adequately informed of

the nature and expectations of online learning.

D) Appropriate measures of security systems must be maintained.

E) Assessments of student learning, especially exams, must take place

in circumstances that include student identification and assurance

of the integrity of student work.

(Source: Amended at 42 Ill. Reg. 59, effective December 19, 2017)


18


NOTICE OF ADOPTED AMENDMENTS

1) Heading of the Part: Program Review (Private Colleges and Universities)


3) Section Numbers: Adopted Actions:

1030.10 Amendment

1030.20 Amendment

1030.30 Amendment

1030.60 Amendment

1030.70 Amendment

1030.80 Amendment

1030.90 Amendment

4) Statutory Authority: Board of Higher Education Act [110 ILCS 205/9.05], Private

College Act [110 ILCS 1005/14.5 and 14.10], and Academic Degree Act [110 ILCS

1010/10.5 and 10.10]

5) Effective Date of Rules: December 19, 2017




Procedure Act.



9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 7266; June 30, 2017


11) Differences between Proposal and Final Version: Section 1030.30(a)(3)(H) was deleted.

Section 1030.80(b)(6)(D)(iii) was deleted. Non-substantive changes were made in

response to comments from the Joint Committee on Administrative Rules.


18




agreements issued by JCAR? Yes


14) Are there any rulemakings pending on this Part? No

15) Summary and Purpose of Rulemaking: This rulemaking implements the

recommendations of the Board’s ad hoc committee after their review of the four existing

administrative rules regarding the approval of academic programs and institutions of

higher education. The committee recommendations sought to (1) align, where relevant,

rules governing oversight of public degree-granting institutions, non-public degree-

granting institutions, and non-degree institutions; (2) align long-standing and new

mandates; (3) recognize changes in higher education, such as expansion of competency-

based learning and growing importance of non-degree completion credentials; and (4)

update fee structures to effectively support the work of the Board.

16) Information and questions regarding these adopted rules shall be directed to:





217/557-7358


fax: 217/782-8548

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


18






PART 1030

PROGRAM REVIEW (PRIVATE COLLEGES AND UNIVERSITIES)

Section

1030.10 Institutions Required to Receive Approval

1030.20 Definitions

1030.30 Institutional Approval

1030.40 Institutional Approval under the 1945 Act Only

1030.50 Institutional Authorization under the 1961 Act Only

1030.60 Degree Authorization under the 1961 Act

1030.70 Maintenance of Approval under the 1945 Act

1030.80 Maintenance of Authorization to Operate and/or Grant Certificates and Degrees

under the 1961 Act

1030.90 Academic Application Processing Fees

1030.ILLUSTRATION A Map of Regions

AUTHORITY: Implementing and authorized by Section 9.05 of the Board of Higher Education

Act [110 ILCS 205/9.05], Sections 14.5 and 14.10 of the Private College Act [110 ILCS

1005/14.5 and 14.10] and Sections 10.5 and 10.10 of the Academic Degree Act [110 ILCS

1010/10.5 and 10.10].

SOURCE: Amended and effective August 9, 1977; emergency rules adopted at 3 Ill. Reg. 26, p.

297, effective June 13, 1979, for a maximum of 150 days; adopted at 3 Ill. Reg. 38, p. 222,

effective September 22, 1979; amended at 4 Ill. Reg. 48, p. 200, effective November 19, 1980;

codified at 8 Ill. Reg. 1454; amended at 33 Ill. Reg. 49, effective December 23, 2008; emergency

amendment at 33 Ill. Reg. 6099, effective April 9, 2009, for a maximum of 150 days; amended at

33 Ill. Reg. 12397, effective August 21, 2009; amended at 36 Ill. Reg. 6525, effective April 11,

2012; amended at 42 Ill. Reg. 66, effective December 19, 2017.

Section 1030.10 Institutions Required to Receive Approval

a) Institutions Required to Receive Approval under the 1945 Act and this Part


18



1) Any private or public person, group of persons, partnership or corporation

that is or contemplates offering degrees or credit bearing instruction in

Illinois above the high school level, either

A) in residence or correspondence; or

B) in the case of an institution offering online instruction, maintaining

a physical facility in Illinois, providing instruction for students at a

physical location, or physically providing core academic support

services in Illinois, including but not limited to admission,

evaluation, assessment, registration, financial aid, academic

scheduling, and faculty hiring and support.

2) After April 10, 2012, institutions described in subsection (a)(1) shall be

limited to:

A) Institutions that were not established and offering degrees in

Illinois prior to July 17, 1945; or

B) Institutions that result from a merger of other institutions, whether

or not the merged institutions were in existence prior to July 17,

1945; or

C) Institutions currently authorized or currently recognized by the

Board that offer degrees or instruction in a new geographic

location, whether or not the institution was in existence prior to

July 17, 1945; or

D) Institutions that have terminated operation and subsequently wish

to resume operations as degree granting institutions, whether or not

the former institution was in existence prior to July 17, 1945.

b) Institutions Required to Receive Approval under the 1961 Act and this Part

1) Any private or public person, group of persons, partnership or corporation

that is or contemplates offering degrees or credit bearing instruction in


18



Illinois above the high school level, either

A) in residence or correspondence; or

B) in the case of an institution offering online instruction, maintaining

a physical facility in Illinois, providing instruction for students at a

physical location, or physically providing, out of an institutionally

owned, operated or rented facility, core academic support services

in Illinois, including but not limited to admission, evaluation,

assessment, registration, financial aid, academic scheduling, and

faculty hiring and support.

2) The institutions described in subsection (b)(1) shall not be an Illinois

public tax supported higher education institution, a labor union training

program or a business trade or other corporate in-service training program.

3) After April 10, 2012, institutions described in subsection (b)(1) shall be

limited to:

A) Institutions that were not operating or authorized to operate in

Illinois on August 14, 1961; or

B) Institutions that result from a merger of other institutions, whether

or not the merged institutions were authorized to operate on

August 14, 1961; or

C) Institutions currently authorized or currently recognized by the

Board that offer degrees or instruction in a new geographic

location, whether or not the institution was authorized to operate

on August 14, 1961; or

D) Institutions that have terminated operation and subsequently wish

to resume operation as degree-granting institutions, whether or not

the former institution was authorized to operate on August 14,

1961; or.

E) Institutions seeking to offer dual credit courses to Illinois high


18



school students pursuant to the Dual Credit Quality Act [110 ILCS

27].

c) Exemption from Approval Requirements

1) Institutions offering degree programs at the University Center of Lake

County and the Quad-Cities Graduate Center shall not be required to apply

for Board approval when offering degree programs authorized for their

home campus. For these institutions, center approval is required and the

center shall be treated as part of the institution's home campus, provided

the center has notified the Board of its approval of the new degree

program.

2) Institutions with Limited Physical Presence in Illinois

Any public or private person, group of persons, partnership or corporation

that is located outside of the State of Illinois that is or contemplates

offering instruction in Illinois above the high school level is not required

under either the 1945 Act or the 1961 Act to obtain a Certificate of

Approval or operating or degree authorization if the institution has a

limited physical presence in the State. No such institution shall be

considered to have limited physical presence for any geographic location

and program in Illinois unless it has received a written finding from the

Board that it has such a limited physical presence. In determining whether

an institution has a limited physical presence, the Board shall require the

following:

A) Evidence of authorization to operate in at least one other state; and

B) Evidence of accreditation by a body recognized by the U.S.

Department of Education and/or the Council for Higher Education

Accreditation; and

C) Evidence that the institution does not offer degrees or credit

bearing coursework from a physical location owned, operated or

rented by the institution in Illinois, or does not provide instruction

for students at a physical location owned, operated or rented by the

institution in Illinois; and


18



D) Evidence that the institution does not maintain a physical facility in

Illinois or does not physically provide out of an institutionally

owned, operated or rented facility core academic support services

in Illinois, including but not limited to admissions, evaluation,

assessment, registration, financial aid, academic scheduling, and

faculty hiring and support in the State of Illinois.

3) Institutions participating in the State Authorization Reciprocity Agreement

(SARA) that are determined by the Board to have limited physical

presence do not need to apply for exemptionexempted under the 1945

and/or 1961 Acts offering degree programs through mediated instruction

do not require additional Board approval.

4) Approved institutions under the jurisdiction of the 1945 or 1961 Acts

offering degree programs through mediated instruction do not require

additional Board approval.

5) Additional Board approval is not required for Board approved institutions

offering programs:

A) On federal military bases exclusively to base personnel and their

family members;

B) At clinical or practice sites that are utilized as a part of Board

approved degree programs;

C) Offering dual credit courses to high school students in high

schools; or

D) Offering courses inside public correctional facilities.



Unless otherwise stated, all definitions apply to all terms used in this Part in conjunction with


18



both the 1945 Act and the 1961 Act.

"The 1945 Act" means the Private College Act [110 ILCS 1005].

"The 1961 Act" means the Academic Degree Act [110 ILCS 1010].

"Ability to benefit" means a standard for admission by which a student who does

not possess a high school diploma or GED has demonstrated that he or she can

profit materially or personally from a certain course of study through passage of

an ability to benefit test or alternative pathways that havehas been approved by

the U.S. Department of Education and administered in compliance with U.S.

Department of Education guidelines related to ability to benefit test policies and

procedures outlined in federal financial aid regulations. (See 34 CFR 668.145 and

668.152.)

"Authorization to Grant Certificates or Degrees" means the letter from the Board

giving an institution authorization to grant specific certificates and degrees under

the 1961 Act.

"Authorization to Operate" means the letter from the Board authorizing an

institution to operate under the 1961 Act.

"Board" means the Board of Higher Education. In those cases in which the term is

used to refer to prior approval or lack of prior approval for either an institution or

a certificate or degree program, the term "Board" shall mean either the Board of

Higher Education or one of the two previous administrative agencies that

administered higher education in Illinois (the Board of Education or the

Superintendent of Public Instruction), as appropriate.

"Certificate of Approval" means the letter from the Board giving an institution

approval to operate under the 1945 Act.

"Certificate or degree program" means a formal award that is included in an

institution's catalog and completion of which is noted on students' official

transcript certifying the satisfactory completion of undergraduate, post-

baccalaureate or graduate organized program of study at a Board approved

institution.


18



"Certificate program" means a formal award offered by a degree-granting

institution that is included in an institutional catalog and on students' official

transcripts certifying the satisfactory completion of undergraduate, post-

baccalaureate or graduate coursework at a Board approved institution.

"Change request" means a written proposal to modify an approved certificate or

degree program. A modification is a change to any of the following: certificate

offered; degrees offered; certificate or degree title or designation; Classification of

Instruction Programsreclassification of instructional programs code (CIP code);

program status; and the admission, retention, or graduation requirements of the

approved programsprogram.

"Credit hour" means an amount of work represented in intended learning

outcomes and verified by evidence of student achievement that is an

institutionally established equivalency that reasonably approximates not less than:

One hour of classroom or direct faculty instruction and a minimum of two

hours of out-of-class student work each week for approximately 15 weeks

for one semester or trimester hour of credit, or 10 to 12 weeks for one

quarter hour of credit, or the equivalent amount of work over a different

period of time; or

Documented student learning outcomes and evidence of student

achievement resulting from a program provided through an alternative

delivery method that demonstrates equivalency to those competencies

achievedoffered through traditional classroom delivery; or

At least an equivalent amount of student work as required to achieve

intended learning outcomes or competencies as verified by evidence of

student achievement for other academic activities as established by the

institution, including prior learning assessment, laboratory work,

internships, practica, studio work and other academic work leading to the

award of each credit hour.

"Degree" means any designation, appellation, series of letters or words, or other

symbol that signifies or purports to signify that the recipient has satisfactorily


18



completed an organized academic program of study beyond the secondary school

level. For the purposes of this Part, an "organized academic program of study

beyond the secondary school level" shall be defined as:

Any academic program, regardless of duration, that offers any designation,

appellation, series of letters or words or other symbol known as or labeled

as an associate degree, a bachelor's degree, a master's degree, a doctor's

degree, a professional degree or a certificate of advanced study; or

Any academic postsecondary program of more than 12 months in

duration, except for a program that is devoted entirely to religion or

theology, or a program offered by any institution operating under the

authority of the Private Business and Vocational Schools Act [105 ILCS

426425].

"Degree program" means the standard required course of study, or its equivalent,

leading to a degree.

"Dual credit" means an instructional arrangement in which an academically

qualified student currently enrolled in high school enrolls in a college-level course

and, upon successful course completion, concurrently earns both college credit

and high school credit.

"Faculty" means any individual or group of individuals who are qualified by

education and experience to give expert instruction and evaluation in their

specialties, to supervise curricular experiences, and to evaluate learning for credit.

"General education" provides students with a broad foundation of study upon

which to build an undergraduate education.

"Home campus" is also known as "in-region". Both "home campus" and "in-

region" are defined as the approval region within which an institution's original

operating authority was granted.

"Illinois not-for-profit institution" means an institution described in Section

1030.10(a) and (b) that is not otherwise exempted in Section 1030.10(c) and

meets the following criteria:


18



Private corporation, limited liability company, or other entity that is

initially incorporated or organized in this State, if required by law; and

Maintains a place of business within the State; and

Holds a current certificate of good standing from the Secretary of State, if

required by law to file with the State; and

Can demonstrate tax-exempt status; and

Conducts business for the benefit of the general public without

shareholders and without a profit motive.

"Illinois proprietary institution" means an institution described in Section

1030.10(a) and (b) that is not otherwise exempted in Section 1030.10(c) and

meets the following criteria:


initially incorporated or organized in this State, if required by law; and

Maintains a place of business within the State; and

Holds a current certificate of good standing from the Secretary of State, if

required by law to file with the State; and

Is investor-owned and/or organized for profit.

Illinois proprietary institutions do not include public institutions authorized

under the domestic laws of this State, private not-for-profit institutions

permitted to be exempt from taxation under section 501(c)(3) of the United

States Internal Revenue Code (26 USC 501(c)(3)), or religious institutions

that have not applied for recognition of tax-exempt status but have filed as a

not-for-profit entity with the Illinois Secretary of State.

"Institutional change" means a written notification of a change at an approved

institution. These changes may include a change in ownership, address, institution


18



name, leadership or status.

"Institution size" is determined by applying the formula for the calculation of FTE

students (using fall student headcounts) developed by the Integrated

Postsecondary Education Data System (IPEDS) to the data reported by the

institution to IPEDS, which is the U.S. Department of Education postsecondary

data collection program.

"Letter of intent" means the notice of intent form provided by the Board and

completed by the institution that is seeking operating authority, as provided in

Section 1030.30(b).

"Mediated instruction" means, for the purposes of this Part, the delivery of

instruction at a distance facilitated by technology, such as via teleconferencing,

video-conferencing, or internet.

"New certificate or degree program" means one or more of the following:

A certificate or degree program offered at a different educational level

from a degree program already approved at a given institution.

A certificate or degree program in a different six-digit CIP (Classification

of Instructional Programs taxonomy developed by the National Center for

Educational Statistics and used in the Integrated Postsecondary Education

Data System) code from that already authorized.

A new professional or specialist degree or certificate.

"New geographic location" means an additional out-of-region instructional site at

which 50 percent or more of a Board authorized certificate or degree program is

offered. Institutions offering less than 50 percent of credit hours for a program

that has either been authorized by the Board for delivery in the institution's home

region or does not require Board authorization as a result of the exemption for

institutions that have been in existence since prior to the 1961 Act as noted in

Section 1030.10 does not require additional approval if the institution is

authorized in that region. Any program offered in an initial operating region or a

new region for which there is no current Board authorization must receive


18



certificate or degree approval for the program before the 50 percent new

geographic location definition applies for additional out-of-region locations.

"Notice of intent" or "NOI" means the filing of intent for a new program or

unitform provided by the Board and completed by the institution that is seeking

authority to award one or more degrees as provided in Section 1030.60(b)

operating authority or certificate or degree granting authority, as provided in

Sections 1030.30(b) and 1030.60(b). Notices of intent shall be publicly posted on

the Board's website for no less than 30 days prior to any Board action on the

application and shall remain active for one year after the public posting period has

expired.

"Out-of-state institution" means an institution described in Section 1030.10(a) or

(b) that is not otherwise exempted in Section 1030.10(c) and meets one of the

following:

Public institution authorized under domestic laws other than the laws of

this State; or


initially incorporated or organized under domestic laws other than the laws

of this State, if required, and initially operated outside the State; or

Not-for-profit corporation, limited liability company, or other entity that

maintains its primary place of business or home office outside this State;

or

Any branch campus, subsidiary or other such affiliate of an out-of-state or

international educational institution.

"PBVS Act" means the Private Business and Vocational Schools Act of 2012

[105 ILCS 426].

"Region" refers to a geographic area within which an institution may operate a

unit of instruction and is not limited to the site within the region where the

institution initially applied. A region consists of one or more coterminous

community college districts. The community college districts are also property


18



taxing districts established as provided in 110 ILCS 805/Art. III. The ten regions,

described by community college district and community college district numbers,

are as follows (see also Illustration A):

"North Suburban Region (1)" consists of the Lake County (532), Oakton

(535), and William R. Harper (512) community college districts;

"Fox Valley Region (2)" consists of the Elgin (509), Kishwaukee (523),

McHenry (528), Rock Valley (511), and Waubonsee (516) community

college districts;

"West Suburban Region (3)" consists of the DuPage (502), Morton (527),

and Triton (504) community college districts;

"Western Region (4)" consists of the Black Hawk (503), Carl Sandburg

(518), Highland (519), John Wood (539), Sauk Valley (506), and Spoon

River (534) community college districts;

"Central Region (5)" consists of the Heartland (540), Illinois Central

District (514), Illinois Valley (513), and Lincoln Land (526) community

college districts;

"South Metro Region (6)" consists of the Joliet (525), Kankakee (520),

Moraine Valley (524), Prairie State (515), and South Suburban (510)

community college districts;

"Prairie Region (7)" consists of the Danville (507), Lake Land (517),

Parkland (505), and Richland (537) community college districts;

"Southwestern Region (8)" consists of the Illinois Eastern (529),

Kaskaskia (501), Lewis and Clark (536), and Southwestern Illinois (522)


"Southern Region (9)" consists of the John A. Logan (530), Rend Lake

(521), Shawnee (531), and Southeastern (533) community college

districts; and


18



"Chicago Region (10)" consists of the City Colleges of Chicago (508)

community college district.

"State Authorization Reciprocity Agreement" or "SARA" means the voluntary

program that implements reciprocity agreements amongst states, institutions and

the National Council for SARA for interstate offering of postsecondary distance

education courses and programs, pursuant to the Higher Education Distance

Learning Act [110 ILCS 145].

"Terminal degree" means the highest level of college degree available in a

particular field.

"Upper-division instruction" means course content and teaching appropriate for

junior- and senior-year students in a baccalaureate program or other students with

expertise in the subject.


Section 1030.30 Institutional Approval

The following general rules apply to institutions seeking a Certificate of Approval under the

1945 Act and an Authorization to Operate under the 1961 Act. Section 1030.40 identifies

exceptions to these rules for those institutions covered by only the 1945 Act. Section 1030.50

identifies exceptions to the general rules for the institutions covered by only the 1961 Act.

a) Criteria for Evaluation of the Application for a Certificate of Approval and/or

Authorization to Operate

The following criteria are designed to measure the appropriateness of the stated

educational objectives to the name and certificate or degree programs that require

approval of a given institution and the extent to which suitable and proper

processes have been developed for meeting those objectives:

1) For institutions requiring approval, the objectives for the institution and its

certificate and degree programs that require approval must be consistent

with what the institutional name and degree program titles imply.


18



A) The term "university" shall only be used in the name of an

institution of higher education when the institutional structure

includes two or more distinct colleges (e.g., College of Business,

College of Education, and College of Liberal Arts and Sciences)

providing instruction at the baccalaureate and graduate levels, and

is involved in public service activities, scholarship and research.

B) The term "college" shall only be used to refer to an institution

providing instruction at the postsecondary level.

C) Names of certificate and degree programs that require

approvalDegree program names shall adhere to the Classification

of Instructional Programs (CIP) developed by the National Center

for Educational Statistics.

2) During review for operating authority, Board staff will consider the

following:

A) Alleged fraudulent conduct on the part of any person operating the

institution or of any person, acting within the scope of his/her

employment by the institution, on account of which any student

ever enrolled in the institution has been injured or has suffered

financial loss.

B) Loss, suspension, probation or similar adverse action taken by an

accrediting body with which the institution is or was affiliated.

C) Actions of federal or state regulatory agencies or Offices of

Attorneys General, Offices of Inspectors General, or similar bodies

that affect an institution's status with those bodies.

D) Compliance with the requirements outlined under the PBVS Act, if

applicable.

32) The caliber and content of each course or program of instruction, training

or study shall be reasonable and adequate for achieving the stated degree

objectives for which the course or program is offered. An undergraduate


18



curriculum shall include general education in alignment with the degree

level and objectives.

A) ApprovedDegree program admission policies must include, at a

minimum, the following:

i) Undergraduate degrees must require a high school diploma

or its equivalency, or passage of an ability to benefit test or

alternative pathway that has been approved pursuant to

U.S. Department of Education regulations (see 34 CFR

668.145). Home school students who have obtained a

diploma or similar credential under applicable state law are

considered to have met this equivalency requirement.

Students who do not meet such a standard may be admitted

provisionally but may only take non-credit bearing

coursework until the student passes an ability to benefit

test.

ii) Graduate degrees must require at least a baccalaureate

degree from an accrediting authority recognized by the U.S.

Department of Education or the Council for Higher

Education Accreditation or degree from another country

evaluated for U.S. equivalency, with the exception of

degrees for professional practice whose professional

standards do not require baccalaureate degrees for entry or

for dual degree programs that can demonstrate equivalency

of student outcomes at both the undergraduate and graduate

levels. For purposes of dual degree programs that allow

individuals to complete a bachelor's degree and either a

graduate or professional degree within the same program, a

student is considered an undergraduate student for at least

the first three years of that program.

B) Institutions must show the capacity to develop, deliver, and

support academic programs. Procedures and policies that will

assure the effective design, conduct, and evaluation of the degree

program under the academic control of the institution must be


18



developed. Assessment plans must demonstrate that the institution

has identified clear and appropriate program and student learning

goals and must have defined appropriate outcomes. Appropriate

data must be collected and may be requested by the Board to show

the level of student learning that has occurred as a result of

participation in the institution's programs of study.

C) Provision must be made for guidance and counseling of students,

evaluations of student performance, continuous monitoring of

progress of students toward their certificate and/or degree

objectives, and appropriate academic record keeping.

D) IBHE staff approval is required for certificates tied to an approved

degree program. Board approval is needed for the creation of a

certificate program in a field or at a level in which there is not a

previously approved degree program.

E) ProgramsDegree programs must meet the following credit hour

requirements; variations from these standards require justification:

i) Associate degree requires at least 60 semester credit hours

or 90 quarter credit hours.

ii) Baccalaureate degree requires at least 120 semester credit

hours or 180 quarter credit hours and at least 40 semester

credit hours (60 quarter credit hours) in upper-division

courses.

iii) Master's degree requires at least 30 semester credit hours or

45 quarter credit hours of appropriate post-baccalaureate

coursework.

iv) Doctor's degree – Professional Practice requires completion

of a program providing the knowledge and skills for the

recognition, credential or license required for professional

practicethe completion of the academic requirements to

begin practice in the profession; at least 60 semester hours


18



of postsecondary credit required for admission to the

program; and a total of at least six academic years of

college work to complete the degree program, including

prior required postsecondary work plus the length of the

professional program itself.

v) Doctor's degree – Research and Scholarship requires the

completion of an organized program of study beyond the

master's leveldegree and requires completion of an

organized program of study. The program shall

demonstrate full understanding of the level and range of

doctoral scholarship;, the function of a dissertation and its

defense based on original research, or the planning and

execution of an original project demonstrating substantial

artistic or scholarly achievement;, the nature of

comprehensive examination;, and other standards

commonly held for thesesuch degrees; at least 2 full time

years of advanced academic coursework beyond the

master's degree; and an independent performance of basic

or applied research at the level of the professional scholar,

typically a dissertation, or to perform independently the

work of a profession that involves the highest levels of

knowledge and expertise.

vi) Certificate program requirements must be consistent with

level and stated program objectives.

FD) Success in student progression and graduation across all existing

approved programs, and success rates in programs preparing

students for certification and licensure, shall be consistent with

expectations in higher education and the appropriate related field

of study. At a minimum, the Board shall consider the following

factors, based on results for similar institutions:

i) Graduation rates, certificate and degree completion rates,

retention rates, and pass rates for licensure and certification


18



aligned with thresholds set by State or national regulatory

bodies.

ii) Success rate, which shall be, at a minimum, higher than

that of the lowest quartile of these measures for similar

Illinois institutions defined as open versus competitive

enrollment institutions and primarily associate versus

primarily baccalaureate granting institutions. Exceptions

may be made to the lowest quartile if an institution is above

the national average for these measures using the same

comparison categories of institutions.

GE) Additional student success measures shall be considered in the

review of applications for authorization. The Board shall establish

minimum rates of success based on results for similar institutions

or thresholds set by State or federal regulatory bodies.

i) At a minimum these data shall include student loan default

rates, student indebtedness rates, job placement rates,

student learning measures and other success indicators.

ii) Institutions that participate in Federal Student Loan

programs shall have 3-year Official Cohort Default rates no

higher than 25 percent. Institutions with Federal Financial

Responsibility Composite Scores shall have a score that is

no lower than 1.0. Institutions that fail to meet these

thresholds may be restricted from implementing new

certificate or degree programs.

iii) The success rate shall be, at a minimum, higher than that of

the lowest quartile of these measures for similar Illinois

institutions defined as open versus competitive enrollment

institutions and primarily associate versus primarily

baccalaureate granting institutions. Exceptions may be

made to the lowest quartile if an institution is above the

national average for these measures using the same



18



HF) Requirements for Technologically Mediated Instruction Offered at

a Distance. In addition to meeting other requirements in this Part,

programs offered through electronically mediated distance learning

must, at a minimum, meet the following requirements:

i) The institution assures adequacy of technical and physical

plant facilities, including appropriate staffing and technical

assistance, to support its electronically offered programs.

ii) The institution provides students, faculty and staff with

effective technical support and training for each

educational technology hardware, software and delivery

system required in a program. The institution provides

adequate technical support to ensure students are able to

complete coursework and make steady progress in their

programs.The help desk function is available to students

during hours when it is likely to be needed, which shall be,

at a minimum, 18 hours a day.

iii) Appropriate measures for security of systems and adequacy

of support are maintained. The selection of technologies is

based on appropriateness for the students, faculty and

curriculum.

iv) Faculty are full participants in decisions regarding curricula

and program oversight.

v) Demonstration of student learning and program outcomes

are appropriate to the field and degree level and consistent

regardless of program delivery method.

vi) Appropriate admission processes, policies and assessments

are used to ensure that students are capable of succeeding

in an on-line learning environment. Students are

adequately informed of the nature and expectations of on-

line learning.


18



vii) Assessments of student learning, especially exams, take

place in circumstances that include student identification

and assurance of the integrity of student work.

viii) Assessment of electronically offered programs by the

institution occurs in the context of the regular evaluation of

all academic programs.

43) The institution shall have adequate and suitable space, equipment and

instructional materials to support institutional programsprovide education

of suitable quality.

A) The institution shall provide students, faculty and staff with

appropriate library resources and support consistent with the

degree type and level offered at the institution.

B) Library staff shall possess the necessary qualifications to support

the needs of the programs.

54) The education, experience and other qualifications of faculty, staff and

instructors shall reasonably ensure that the students will receive education

consistent with the objectives of the course or program of study.

A) At a minimum, faculty shall have a degree from an institution

accredited by a U.S. Department of Education and/or Council for

Higher Education Accreditation recognized accrediting body or a

degree from another country evaluated for U.S. equivalency in the

discipline they will teach or for which they will develop curricula

at least one level above that of the courses being taught or

developed.

i) Faculty providing undergraduate general education

coursework shall possess, at a minimum, a master's degree

with 18 graduate hours appropriate to the academic field or

discipline in which they are teachingin the field of

instruction.


18



ii) Faculty engaged in providing technical and career

coursework at the associate degree level shall possess, at a

minimum, at least 2,000 hours of work experience and the

appropriate recognized credential, depending on the

specific fielda bachelor's degree in the field of instruction

or equivalent training in the occupational field.

iii) Faculty teaching in a baccalaureate degree program shall

have, at a minimum, a master's in the field of instruction.

iv) Faculty teaching in a graduate program shall have a

doctorate or terminal degree in the field of instruction.

v) Exceptions may be made for professional experience,

equivalent training and other qualifications; however, these

willshould be the exceptions and not the rule in meeting

faculty qualification requirements. These exceptions for

faculty may be reviewedrecommended by the Board staff.

B) Faculty to student ratios and full time faculty to part time faculty

ratios shall be factors in determining appropriate provision of

qualified faculty. Institutions shall have policies in place that serve

to ensure equivalency of instruction and program delivery across

faculty members, including methods of measuring equivalency of

student learning outcomes across faculty. The Board shall

establish minimum rates of success based on data for similar

institutions. The ratios shall be, at a minimum, higher than those

of the lowest quartile of these measures for similar Illinois


institutions and primarily associate versus primarily baccalaureate

granting institutions. Exceptions may be made to the lowest

quartile if an institution is above the national average for these

measures using the same comparison categories of institutions.

C) Support personnel, including but not limited to counselors,

administrators, clinical supervisors, and technical staff, that are


18



directly assigned to the unit of instruction have the educational

background and experience necessary to carry out their assigned

responsibilities.

6) Support Services

A) Facilities, equipment and instructional resources (e.g., laboratory

supplies and equipment, instructional materials, computational

equipment) necessary to support high quality academic work in the

unit of instruction, research or public service are available and

maintained.

B) Clinical sites necessary to meet the objectives of the unit of

instruction, research or public service.

C) Library holdings and acquisitions, owned or contracted for by the

institution, that are necessary to support high quality instruction

and scholarship in the unit of instruction, research and public

service, are conveniently available and accessible, and can be

maintained.

75) Program Information

A) The institution shall provide to the public upon request a catalog,

either in print or electronically, with the information listed in this

subsection (a). This information shall be provided in print and on

the institution's website without requiring the student to provide

contact or other personal information in order to access the

information. The catalog or brochure shall contain the following

information:

i) Descriptions of the degree programs offered, program

objectives, length of program and institutional calendars

with degree program start and end dates;

ii) Schedule of tuition, fees and all other charges and expenses

necessary for completion of the course of study, and


18



cancellation and refund policies;

iii) A statement regarding the transferability of college credits,

including the fact that the decision to accept transfer credits

is currently made by receiving institutions;

iv) A statement as to how the institution will advise students

on the nature of the transfer process, including the

importance of consulting with institutions to which the

student may seek to transfer;

v) Evidence of articulation arrangements with institutional

counterparts, when these arrangements exist;

vi) A statement of the institution's most recent graduation rates

and the numbers of graduates and enrollments as provided

by the institution to the Integrated Postsecondary Education

Data System (IPEDS). There is no exception if the

institution does not report data to IPEDS. The State also

requires the collection of data on student financial aid and

dual credit offerings;

vii) A statement of the institution's current accreditation status

with a U.S. Department of Education and/or Council for

Higher Education Accreditation recognized accrediting

body. If no such accreditation exists, the institution must

prominently state this in its advertising and published

materials; and

viii) Other material facts concerning the institution and the

program or course of instruction as are likely to affect the

decision of the student to enroll, together with any other

information specified by the Board and defined in this Part.

B) The information listed in subsection (a)(75)(A) shall be available

to prospective students prior to enrollment.


18



86) Upon satisfactory completion of the degree program, the student shall be

awardedgiven the appropriate degree by the institution, indicating that a

specifically approved course of instruction or study has been satisfactorily

completed by the student.

97) Adequate records shall be maintained by the institution to show

attendance, progress or grades, and consistent standards should be

enforced relating to attendance, progress and performance. Institutions

must provide adequate security measures to protect student data and

records and must comply with all State and federal laws relevant to

protection of individual privacy and preservation of records.

108) The institution shall be maintained and operated in compliance with all

pertinent local, State and national ordinances and laws.

119) The institution should be financially stable and capable of assuring the

revenues needed for meeting stated objectives and fulfilling commitments

to students.

1210) Neither the institution nor its agents should engage in advertising,

recruiting sales, collection, credit or other practices of any type that are

false, deceptive, misleading or unfair.

1311) The institution should have a fair and equitable cancellation and refund

policy. This policy shall apply equally to all students regardless of

whether the student receives federal or State financial aid.

1412) The faculty, staff and instructors of the institution shall be of good

professional reputation and character.

1513) If the institution requires the student to sign an enrollment agreement or a

similar agreement, the agreement shall provide consumer information

including, but not limited to: an explanation of all criteria and

requirements for retention, progress towards program completiondegree,

and graduation of the student; the institution's tuition, cancellation and

refund policies; and a statement of the purpose and amount of any fees

assessed.


18



A) No institution shall enter into any enrollment agreement in which

the student waives the right to assert against the school or any

assignee any claim or defense he or she may have against the

school arising under the agreement.

B) Although the school may use an enrollment agreement that sets

forth the total cost of the program, no school may have a tuition

policy or enrollment agreement that charges a student for multiple

periods of enrollment prior to completion of the single semester,

quarter, term or other period of enrollment.

1614) Any institution applying for a Certificate of Approval or authorization to

operate in the State of Illinois must specify its accreditation status. New

institutions without accreditation from an accrediting authority recognized

by the U.S. Department of Education or the Council for Higher Education

Accreditation shall provide a clearly defined plan to move from candidate

to affiliate status. The plan should include the name of the accrediting

organization, the basic outline of the accreditation process, and the

projected time line for obtaining affiliate status within five years after the

date of Board approval, unless the Board waives the original time line

because it is found to be an unrealistic expectation. Appropriate steps shall

be taken to assure that programmatic accreditation needed for licensure or

entry into a profession as specified in the objectives of the unit of

instruction will be sought in a reasonable amount of time and will be

maintained throughout the life of the program.

b) Procedures for Obtaining a Certificate of Approval and/or Authorization to

Operate

Following is a description of the steps in the approval process:

1) Orientation

The agenda will include a discussion of criteria to be met by the institution

and procedures used in applying for a Certificate of Approval and/or

Authorization to Operate.

2)1) NoticeLetter of Intent (NOI)


18



The Chief Executive Officer of the institution seeking a Certificate of

Approval and/or Authorization to Operate a degree-granting

postsecondary institution in the State of Illinois should make this intention

known by filing a Notice of Intent withwriting to the Board. Notices of

Intent shall be publicly posted on the Board's website for no less than 30

days before Board action on the application and are active for one

year.Following receipt of this letter, the Board staff may arrange a

preliminary conference with institutional representatives.

2) Preliminary Conference

The agenda will include a discussion of criteria to be met by the institution

and procedures used in applying for a Certificate of Approval and/or

Authorization to Operate.

3) SubmissionLetter of Application and Supporting Documentation

Following the submission of a Notice of Intentpreliminary conference, the

institutional representatives shall complete the application supplied by the

Board. The application requests information and supporting evidence to

demonstrate that the institution meets the criteria established. This

information request includes a signed cover letter and audited financial

statements.

4) Staff Analysis

Following the receipt of the formal application and accompanying

documentation, staff will review and analyze all materials.

5) Site Visit

A) Following completion of documentation and staff analysis of the

application, a site visit may be arranged in order to verify and

supplement the information provided about the proposed

institution. Site visits may be scheduled if:

i) the Board is not familiar with the physical facilities;

ii) the institution asks for a site visit;

iii) questions have been raised about the veracity of the


18



application; or

iv) for other reasons the proposed institution/program does not

lend itself to an in-office analysis.

B) The site visit may include interviews with prospective

administrators, students, faculty and/or board members and

observations of facilities, record systems, financial data and/or

curricular resources.

6) Outside Consultants

The Executive Director of the Board, at his or her discretion, may utilize

the services of outside consultants to assist the staff in the verification

and/or evaluation of the documentation submitted or obtained through the

site visit.

7) Staff Report

A) Following the site visit, Board staff will prepare an analysis of the

findings and develop a recommendation to the Board regarding the

institutional application. This recommendation will be shared with

the applicant.

B) The recommendation will be one of the following:

i) That the institution be issued a Certificate of Approval

and/or Authorization to Operate, subject to annual reporting

and the implementation and maintenance of the conditions

under which approval/authorization has been granted; or

ii) That the institution be denied a Certificate of Approval

and/or Authorization to Operate.

8) Staff Recommendations to the Board

The Executive Director of the Board will submit the staff recommendation

to the Board for action at a regular meeting. The Chief Executive Officer

of the applicant institution or a designee will be invited to attend the


18



meeting and may be asked to respond to Board questionscomment on the

recommendation. In the event the staff recommendation is negative, the

applicant shall be given an opportunity to respond in writing. This

response shall be transmitted to the Board at the same time as the staff

recommendation.

9) Board Action

Following the Board's decision to issue a Certificate of Approval and/or

Authorization to Operate or to deny a Certificate of Approval and/or

Authorization to Operate, a letter signifying the action will be sent from

the Executive Director of the Board to the Chief Executive Officer of the

institution. A letter of approval will serve as the official Certificate of

Approval/Authorization to Operate for the institution in the State of

Illinois.

c) Initial authorization to operate in Illinois for institutions new to the State shall be

for five years. In the fifth year of operation, the Executive Director of the Board

shall instruct staff to conduct a review. The Board may deny a continuation of the

initial approval or offer a limited extension if the institution:

1) Has failed to implement and maintain the conditions that were presented

in its application and that formed the basis upon which authorizations

were granted;

2) Has failed to maintain sound fiscal status;

3) Has failed to achieve accreditation through a U.S. Department of

Education and/or Council for Higher Education Accreditation recognized

accrediting body for degree granting institutions during the initial five year

period. Failure to achieve accreditation shall be grounds for immediate

revocation of approval. Until accreditation is achieved, the institution

shall clearly and appropriately state in all promotional materials and

advertisements and on its webpage that it is not accredited; or

4) Has failed to demonstrate success in student progression and graduation

and success rates in programs preparing students for certification and

licensure that are consistent with expectations in higher education and the


18



appropriate related field of study. At a minimum, the Board shall consider

the following factors, based on results for similar institutions:

i) Graduation rates, programdegree completion rates, retention rates,

and pass rates for licensure and certification aligned with

thresholds set by State or national regulatory bodies.

ii) Success rate, which shall be, at a minimum, higher than that of the

lowest quartile of these measures for similar Illinois institutions

defined as open versus competitive enrollment institutions and

primarily associate versus primarily baccalaureate granting

institutions. Exceptions may be made to the lowest quartile if an

institution is above the national average for these measures using

the same comparison institutions.

iii) Additional student success measures shall be considered in the


minimum rates of success based on results for similar institutions

or thresholds set by State or federal regulatory bodies. At a

minimum, these, the data shall include student loan default rates,

student indebtedness rates, job placement rates, student learning

measures and other success indicators.

iv) Institutions that participate in Federal Student Loan programs shall

have 3-year Official Cohort Default rates no higher than 25

percent. Institutions with Federal Financial Responsibility

Composite Scores shall have a score that is no lower than 1.0.

Institutions that fail to meet these thresholds may be restricted

from implementing new certificate and/or degree programs.The

success rate shall be, at a minimum, higher than that of the lowest

quartile of these measures for similar Illinois institutions defined as

open versus competitive enrollment institutions and primarily

associate versus primarily baccalaureate granting institutions.

Exceptions may be made to the lowest quartile if an institution is

above the national average for these measures using the same



18



d) Nothing in this Section shall be construed to prevent the Board from withdrawing

Certification of Approval or Authorization to Operate at any time, including

during the first five years of operation, if an institution has failed to implement

and maintain the conditions that were presented in its applications and that form

the basis upon which its certificate or authorization was granted.

e) Publications and Information. Institutions shall be scrupulously ethical in all

communication with the public and with prospective students. School

publications, advertisements and statements shall be wholly accurate and in no

way misleading. Violations of this subsection shall be grounds for immediate

investigation of the institution pursuant to Section 1030.70 and, depending on the

results of the investigation, may be grounds for revocation proceedings under

Sections 1030.70 and 1030.80.

1) An institution may state that it is approved or authorized to operate in the

State of Illinois only after approval has been officially granted and

received in writing from the Board and while authorization is maintained.

A) Institutions authorized by the Board may use the authorization in

advertising and promotional material and on letterhead stationery

only if using the following language: (name of school) is

authorized for operation by the Illinois Board of Higher Education.

The entire statement must be used with the same size font and font

type of print.

B) Institutions authorized by the Board that have presence, advertise

or offer instruction via Internetinternet, world wide web or other

electronic telecommunication means must state or have a link on

the first page (as registered with standard web/internet search

engines) to the following statement that can be readily viewed by

the consumer: (name of school) is authorized to operate as a

postsecondary educational institution by the Illinois Board of

Higher Education. In the case of a websitean internet site, within

the required statement given above, the term "Illinois Board of

Higher Education" must be a hyperlinkan electronic link to the

Board's website at www.ibhe.org.


18



2) No statement shall be made that the institution or its courses of instruction

have been accredited unless the accreditation is identified as that of an

appropriate U.S. Department of Education and/or Council for Higher

Education Accreditation recognized accrediting agency. An institution

shall not advertise or state in any manner that it is "accredited" by the

Board.

3) No institution shall publish or otherwise communicate to prospective

students, faculty, staff or the public misleading or erroneous information

about the operating or degree-granting status of a given institution.

4) Recruitment and informational materials of an institution that has received

only approval and/or authorization from the Board to operate shall indicate

that the institution is not yet authorized to award degrees.

5) No dollar amount shall be quoted in any advertisement as representative or

indicative of the earning potential of graduates.

6) Institutions or representatives shall not use a photograph or other such

illustration in public documents, sales literature or otherwise in such a

manner as to convey a false impression as to size, importance or location

of the institution or equipment and facilities associated with that

institution.

7) Institutions or representatives shall not make deceptive statements

concerning other institutional activities in attempting to enroll students.

8) No statement or representation shall be made that students will be

guaranteed employment while enrolled in the institution or that

employment will be guaranteed for students after graduation, nor shall any

institution or representative misrepresent opportunities for employment

upon completion of any course of study.

9) The Board, at any time, may require that an institution furnish proof to the

Board of any of its advertising claims. If proof acceptable to the Board

cannot be furnished, a retraction of the advertising claims, published in the

same manner as the claims themselves, must be published by the


18



institution and continuation of that advertising shall constitute cause for

revocation of the institution's Certificate of Approval and Authorization to

Operate.

10) Student loans offered to students by the institution or those agents it

recommends must clearly state whether the loans are federal student aid

loans.

11) No statement shall be made by an institution or its representatives that the

programs and/or courses or exams are transferable to another institution

without current documentation by an authorized official of the receiving

institution.

12) Each Board authorized institution or institution receiving a Board degree

authorization must provide in its catalog and print promotional materials

and on its website the Board's mailing address and the Board's website

link for reporting complaints. For the website information, there must be a

hyperlinkan electronic link to the Board's website on the first page (as

registered with standard web/internet search engines).

A) Institutions authorized by the Board, or an institution receiving a

Board degree authorization, must provide in their catalogs and

print promotional materials and on the first page of their websites

the institution's procedure for complaint resolution. The web page

providing information on the institution's complaint procedure

must also have a hyperlink to the Board's website link for reporting

complaints not resolved at the institution's level.

B) Institutions authorized by the Board must respond in writing within

10 business days after receiving a student's complaint from the

Board. The Board shall review the response and determine if

additional information is needed from the institution.


Section 1030.60 Degree Authorization under the 1961 Act


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a) Criteria for New Certificate and Degree Programs

The Board requires that a non-public or out-of-state public institution demonstrate

that it can maintain and operate a new degree program that meets the standard

criteria for those degree programs. The following standard criteria are designed to

measure the appropriateness of the stated educational objectives to the certificate

or degree programs of a given institution and the extent to which suitable and

proper processes have been developed for meeting those objectives:

1) All rules, criteria, and procedures defined in Section 1030.30 shall apply.

2) The objectives of the certificate or degree program must be consistent with

what the degree program title implies.

3) The requested certificate or degree program shall be congruent with the

purpose, goals, objectives and mission of the institution.

4) The caliber and content of the curriculum shall assure that the stated

certificate or degree objectives for which the program is offered will be

achieved.

5) The institution shall have adequate and suitable space, equipment and

instructional materials to support institutional programsprovide education

of suitable quality.

6) The education, experience and other qualifications of directors,

administrators, supervisors and instructors shall ensure that the students

will receive education consistent with the objectives of the program.

7) The information the institution provides for students and the public shall

accurately describe the degree programs offered, program objectives,

length of program, schedule of tuition, fees, and all other charges and

expenses necessary for completion of the course of study, cancellation and

refund policies, and such other material facts concerning the institution

and the program or course of instruction as are likely to affect the decision

of the student to enroll. This information, including any enrollment

agreements or similar agreements, shall be available to prospective

students prior to enrollment.


18



8) Fiscal and personnel resources shall be sufficient to permit the institution

to meet obligations to continuing programs while assuming additional

resource responsibilities for the new certificate or degree program.

9) The faculty, staff and instructors of the institution shall be of good


b) Procedures for Obtaining Authority to Award One or More New Certificates

and/or Degrees

The Board shall approve all new certificate and degree programs in institutions

described in Section 1030.10(b) that are not otherwise exempted in Section

1030.10(c). Institutions authorized to offer a degree program at a site within a

region are not required to obtain additional approval to offer the same certificate

or degree at a different site within the same region. Following is a description of

the steps in the approval process:

1) New Certificate or Degree Program Request

A) The Chief Executive Officer of the institution seeking approval of

a new certificate or degree program in the State of Illinois should

make this intention known by completing a notice of intent on the

form provided by the Board prior to submission of the request for

approval. The notice of intent shall include the certificate or degree

and program name, region where located, description of the

program, demographics of the intended students, estimated

enrollment, and contact person. Notices of Intent shall be publicly

posted by the Board for no less than 30 days before Board action

on the application and are active for one year after the public

posting period expires.

B) The institution requesting permission to offer a new certificate or

degree program will complete an application provided by the

Board.

C) Information to be provided by the institution shall include:


18



i) program titles and descriptions;

ii) program objectives;

iii) curriculum;

iv) relationship of new programs to existing programs;

v) faculty;

vi) recommendation of internal governance bodies;

vii) facilities;

viii) finances; and

ix) program publicity information.

2) Governing Board Approval

The application shall be approved by the institution's governing board

prior to submission to the Board.

3) Submission of the Application

Applications may be submitted to the Board at any time.

4) Board Staff Analysis

Following receipt of the application, Board staff will review and analyze

the application and documentation submitted.

5) Additional Documentation and Site Visit

In the case of a proposed new certificate or degree program for which

Board staff determines it is necessary to verify or supplement the

information supplied in the application, the staff may request additional

written documentation and/or arrange for a site visit.

6) Outside Consultants

The Executive Director of the Board, at his or her discretion, may utilize


18



the services of outside consultants to assist the staff in a site visit and in

the evaluation of the documentation submitted.

7) Staff Report

Following the staff analysis, Board staff will summarize its findings and

develop a recommendation to the Board regarding the new certificate or

degree program request. This recommendation will be shared with the

applicant. This recommendation will be one of the following:

A) That the degree program be approved to admit students, with the

appropriate certificates and/or degrees being awarded upon

program completion, but no sooner than one year after the

approval date; or

B) That the certificate or degree authority requested not be granted.

8) Staff Recommendations to the Board

The Executive Director of the Board will submit the staff recommendation

for action to the Board at a regular meeting. The Chief Executive Officer

of the institution, or a designee, will be invited to attend and may be asked

to respond to Board questionscomment on the recommendation. In the

event the staff recommendation is negative, the applicant shall be given an

opportunity to respond in writing. This response shall be transmitted to the

Board at the same time as the staff recommendation.

9) Board Action

Following the Board's decision to approve or deny the certificate or

degree-granting request, a letter signifying the action will be sent from the

Executive Director of the Board to the Chief Executive Officer of the

institution. A letter of approval will serve as official authorization for the

institution to award the stated certificates and/or degrees.

10) Awarding Certificates and Degrees

Institutions shall not award new degrees until one year after authorization

by the Board to do so.

11) New Application


18



Any institution denied approval to award a new certificate or degree must

file a new application in order to be given subsequent consideration for

approval.

12) Advertising of Certificate and/or Degree Programs

A) An institution may state that it is approved or authorized to award a

certificate or degree in the State of Illinois only after that approval

has been officially granted and received in writing from the Board.

B) An institution shall not advertise or state in any manner that it is

"accredited" by the Board to award certificates and/or degrees.

C) No institution shall publish or otherwise communicate to

prospective students, faculty, staff or the public misleading or

erroneous information about the certificate- or degree-granting

status of a given institution.

13) No Program Changes for the First Year

Institutions applying after December 15, 2008 shall not deviate from the

approved plan for one year after the date of the letter of approval.

14) Institutions Exempt from Approval

Institutions offering a previously authorized certificate or degree program

at another site within the same region shall not be required to apply for

additional Board approval.


Section 1030.70 Maintenance of Approval under the 1945 Act

a) Most institutions are approved to operate under both the 1945 Act and the 1961

Act. Institutions under only the 1945 Act shall comply with Section 1030.70.

Institutions under only the 1961 Act shall comply with Section 1030.80.

Institutions under both Acts shall comply with both Sections 1030.70 and

1030.80. When the two Sections are identical, the institution will be considered in

compliance with the 1945 Act by complying with Section 1030.80 and vice


18



versa.

b) The following rules govern maintenance of the Certification of Approval under

the 1945 Act:

1) Annual ReportingReport

A) Each approved institution shall file annually with the Board its

current catalogs.

B) Compliance with all State and federal reporting mandates is

required for maintenance of approvals.

2) Reviews

The staff of the Board may conduct reviews and/or visitations of approved

institutions as necessary for the implementation of the statute and this Part.

3) Complaints

Each approved institution must respond in writing within 10 business days

after receiving a student's complaint from the Board. The Board shall

review the response and determine if additional information is needed

from the institution.

4) Investigations of Institutions

The status of institutions under investigation as described in this Section

shall be reported in Board public materials as "Institutions under

investigation: on hold pending review of Board approval status".

A) The staff of the Board shall initiate an investigation upon receipt of

a verified written complaint and may initiate an investigation in

response to oral or written information concerning any of the

following:

i) Alleged violation of any of the conditions governing

issuance of the Certificate of Approval;

ii) Alleged failure to comply with this Part;


18



iii) Alleged fraudulent conduct on the part of any person

operating the institution or of any person, acting within the

scope of his/her employment by the institution, on account

of which any student ever enrolled in the institution has

been injured or has suffered financial loss;

iv) Loss, suspension, probation or similar adverse action taken

by an accrediting body with which the institution is or was

affiliated;

v) Actions of federal or state regulatory agencies or Offices of

Attorneys General, Offices of Inspectors General, or

similar bodies that affect an institution's status with those

bodies.

B) The institution will be notified by the Board about the initiation of

an investigation. During the investigation there may be a

temporary hold placed on any of the institution's pending

applications and requests to the Board for modification of existing

approvals. The hold will be for a specified period of time not to

exceed six months, unless the Board begins collection of pertinent

information related to satisfying the issues associated with the

investigation, such as the results of adverse actions by federal or

state regulatory agencies, the results of pending court action for

which a sworn affidavit has been filed, actions of accrediting

bodies, or similar information. Upon completion of the

investigation, the Board will accept the institution's request to

voluntarily relinquish its approval, begin the process for revocation

as provided in subsection (b)(4), at which time the hold continues,

or remove the hold. Information that any current authorizations or

future applications are on hold will be provided by the Board on its

web page or in print materials that reference authorized

institutions.

54) Revocation or Relinquishment of the Certificate of Approval


18



A) Grounds for revocation include any of the following:

i) Violation of any of the conditions governing issuance of

the Certificate of Approval;

ii) Failure to comply with this Part;

iii) Fraudulent conduct on the part of any person operating the

institution or of any person, acting within the scope of

his/her employment by the institution, on account of which

any student ever enrolled in the institution has been injured

or has suffered financial loss;

iv) Failure to offer degrees or instruction for one continuous

12-month period;

v) Abandonment of the institution;

vi) Loss of accreditation status with an accrediting body with

which the institution is or was affiliated;

vii) Actions of federal or state regulatory agencies or Offices of



bodies;.

viii) Pervasive and substantial student complaints against the

institution.

B) Procedures for Revocation

i) Before revoking any certificate to operate, the Board shall

designate a Hearing Officer who shall schedule and

conduct a hearing, as prescribed in Section 6-9 of the 1945

Act. The Board shall not be required to schedule a hearing

and has the option to waive a hearing if the institution has

not operated for one continuous 12-month period or the


18



institution has been abandoned; even in these cases,

however, the Board shall be required to revoke the

certificate at a public meeting at which any opponent who

is injured or impacted by the revocation must be given the

opportunity to be heard.

ii) If the Board decides to grant a rehearing pursuant to

Section 10 of the 1945 Act, it shall appoint another Hearing

Officer, different from the first, who shall conduct a

hearing upon only those grounds for which the rehearing

was granted. The second Hearing Officer shall submit a

written report of findings and recommendations to the

Board, which shall make a final determination.

iii) Upon revocation of the Certificate to Operate, the

Certificate of Approval shall be rendered invalid.

iv) At any time after revocation of a Certificate of Approval,

the Board may restore it to the institution.

v) A closed institution shall arrange for its student records to

be maintained in a safe and suitable place as determined by

the Board (such as another like kind of institution or the

Board).

C) Voluntary Relinquishing of Approval

i) Institutions may voluntarily relinquish their Certificate of

Approval, Authorization to Operate, or Authorization to

Grant Degrees. The voluntary relinquishment shall be in

writing and does not require a hearing or any other Board

action to be effective.

ii) Institutions relinquishing approval and/or authorization

shall be required to provide for an appropriate repository of

records and may be required to provide a student

completion plan that must be approved by the Board.


18



D) Change of Legal Status of the Institution

i) An institution's Certificate of Approval, Authorization to

Operate and Authorization to Award Degrees are granted to

a specific legal entity based on the conditions under which

the institution and/or its degrees were authorized. A

change to the legal status of the entity shall result in

immediate loss of the certificate or authorization.

ii) A change of legal status ends the exempted status of

institutions described in Section 1030.10. After a change

of legal status, institutions previously exempted must seek

new operating and degree granting authority.

iii) Institutions that are planning a change of legal status shall

inform the Board as early as possible. If new approvals

will be sought by the institution, a plan should be

developed in consultation with the Board to facilitate the

transition process.

iv) In cases in which a change in shareholders results in new

leadership of an institution, the Board shall require that the

institution submit documentation demonstrating that no

change has occurred in the operation of the institution that

would affect the conditions under which the institution

and/or its degrees were authorized.

v) Merger of two institutions resulting in the creation of a new

institution causes both institutions to lose their approvals

and results in the need for new authorizations.


Section 1030.80 Maintenance of Authorization to Operate and/or Grant Certificates and

Degrees under the 1961 Act


18



a) Most institutions are approved to operate under both the 1945 Act and the 1961

Act. Institutions under only the 1945 Act shall comply with Section 1030.70.

Institutions under only the 1961 Act shall comply with Section 1030.80.

Institutions under both Acts shall comply with both Sections 1030.70 and

1030.80. When the two Sections are identical, the institution will be considered in

compliance with the 1945 Act by complying with Section 1030.80 and vice versa.

b) This subsection (b) governs the Maintenance of the Authorization to Operate

and/or Award Specific Certificates and Degrees procedure under the 1961 Act.

1) Annual Report

Each authorized institution shall file annually with the Board its current

catalogs. In addition, institutions must comply with any data requests to

satisfy Board reporting requirements.

2) Reviews

The staff of the Board may conduct reviews and/or visitations of

authorized institutions and/or their certificate and degree programs as

necessary for the implementation of the statute. This may include a review

in the fifth year of a new degree program's existence. Board staff may

review the degree program, in cooperation with institutional staff, to verify

the institution's implementation and maintenance of the conditions that

were presented in its applications and that formed the basis upon which

the authorizations were granted. The fifth year review may also include

information on improvements in the institution's capacity to efficiently and

effectively deliver certificate and degree programs using technological

innovation and comprehensive data systems. Evidence that the program

meets standards enumerated in Section 1030.30(a) may be reviewed. In

the case of a program in which State licensure is required for employment

in the field, a program can be found to be in good standing if the

institution is able to provide evidence that program graduates are eligible

to take the appropriate licensure examination and pass rates are maintained

as specified in the objectives of the unit of instruction. If there is no such

evidence, approval of the program may be withdrawn by the Board.

3) Complaints Concerning Institutional Degree Practices

The staff of the Board may initiate an investigation in response to written


18



or oral information suggesting that changes have occurred in the

conditions under which Authorization to Operate and/or Award Specific

Certificates and Degrees was given. During the investigation, there may

be a temporary hold placed on the institution's applications to the Board

for new program approvals and other programs. The hold will be for a

specified period of time not to exceed six months, unless the Board begins

the process for revocation as provided in subsection (b)(5), at which time

the hold will continue until the Board decision is made.

4) Temporary Suspension of Program

An institution may place any approved program on temporary suspension

after receiving Board approval. The institution shall provide an annual

status report to the Board on any program under temporary suspension

status. The Board will consider a program placed on temporary suspension

status to be terminated if an annual status report is not received or if no

reinstatement request is received within the first five years after the

program was placed on temporary suspension. An institution may petition

for reinstatement during the five-year period.

5) Revocation or Relinquishment of Operating and/or Degree-Granting

Authority

A) Grounds for revocation include:

i) Failure to permit any duly authorized representative of the

Board to enter upon the premises of the institution and to

inspect or otherwise examine the institution and its books,

papers or other records.

ii) Failure to maintain the conditions under which the

institution and/or its certificates and/or its degrees were

authorized.

iii) Failure to maintain the institution's implementation and

maintenance of the conditions that were presented during

its fifth year review and that formed the basis upon which

the authorizations were continued.


18



iv) Failure to offer degrees or instruction for one continuous

12-month period.

viv) Abandonment of the institution.

vi) Loss of accreditation status with an accrediting body with

which the institution is or was affiliated.

vii) Actions of federal or state regulatory agencies or Offices of



bodies.

B) Procedures for Revocation

i) Following the Board staff investigation of the institutional

degree practices, the staff may recommend to the Board

revocation of the Authorization to Operate and/or Award

Specific Certificates and Degrees.

ii) If the Board votes to revoke the Authorization to Operate

and/or Award Specific Certificates and Degrees, the

institution may request a hearing. The Board shall not be

required to schedule a hearing and has the option to waive a

hearing if the institution has not operated for one

continuous 12-month period or the institution has been

abandoned; even in these cases, however, the Board shall

be required to revoke the authority at a public hearing at

which any opponent who is injured or impacted by the

revocation must be given the opportunity to be heard.

iii) The Board shall designate a Hearing Officer who shall

schedule and conduct a hearing.

iv) The Hearing Officer shall make a written report of findings

and recommendation to the Board, which shall make a final


18



determination and shall notify the institution of its decision.

v) Following a Board decision to revoke the Authorization to

Operate and/or Award Specific Certificates and Degrees,

the letter of authorization shall be rendered invalid.

vi) At any time after revocation, the Board may restore an

Authority to Operate and/or Award Specific Certificates

and Degrees.

vii) A closed institution shall arrange for its student records to

be maintained in a safe and suitable place as determined by

the Board (such as another like kind of institution or the

Board).

6) Institutional or Unit Closure and Teach Out

An institution that is closing entirely or one or more units, either

voluntarily or involuntarily, shall send to the Board the following:

A) Notice Required

i) Notice to the Board of the closure immediately by email or

certified mail;

ii) The name, address and telephone number of the person

who will be responsible for closure processes;

iii) A list of students affected and anticipated decisions

regarding teach out for each student (e.g., graduation,

transfer, remain at institution, and participate in teach out,

etc.);

iv) Information on the remaining credit and other requirements

outstanding for each student to complete the program;

v) Copies of the student-directed communication plan that

includes the proposed timeline and methods for notifying


18



students of teach-out options. Plans must include

communication with any students who may be on approved

leaves of absence or otherwise difficult to reach;

vi) Copies of the communication plans for informing faculty,

staff and other institutional constituents;

vii) Identification of an individual who will be empowered to

act as official registrar, if needed, after the closure; and

viii) Submission of a letter of permission to the Board to access

all institutional properties in order to secure student

records, if necessary.

B) Teach-Out Plan

i) After December 31, 2017, when a Board approved

institution proposes to discontinue its operation, that

institution shall cause to be created a teach-out plan

acceptable to the Board. The teach-out plan shall fulfill the

institution's educational obligations to its students. Should

the institution fail to deliver or act on the teach out plan, the

Board is in no way responsible for providing the teach-out.

ii) An institution shall have written plans designed to protect

the contractual rights of its students and graduates in the

event the institution closes or undergoes a change of status

(e.g., if the institution changes location or if its authority is

revoked), including the right to complete the course of

instruction in which the students or graduates enrolled.

iii) If students are receiving instruction prior to the institution's

closing, the institution shall file a plan to ensure that the

institution's students will continue to receive training of the

same quality and content as that for which they contracted.


18



C) Arrangements for transferring students to a public or another

approved institution shall be filed with the Board prior to any

student transfer. Prior to approving the institution's arrangements

for completing its teaching obligations to students, the Board shall

verify that students transferring will receive the same kind of

program and instructional services as those for which they

contracted.

D) Academic Records

In the event an institution proposes to discontinue its operations,

the chief administrative officer of the institution shall arrange for

all original or legible true copies of all such academic records of

the institution to be maintained in a safe and suitable place as

determined by the Board (such as a third party provider, a like

institution, or the Board).

i) These records shall include, at a minimum, the academic

records of each former student that are traditionally

provided on an academic transcript, such as, but not limited

to, courses taken, terms, grades and other such information.

ii) The institution shall make students aware of how to obtain

transcripts from either the closed institution and/or new

institution permanently retaining the records.

iii) The institution must release any holds on student records

before operation is discontinued and the records are

transferred


Section 1030.90 Academic Application Processing Fees

a) Fees

Fees are assessed in connection with applications for certificates of approval

under the 1945 Act and applications for authorization to operate and authorization

to grant certificates and degrees under the 1961 Act, including filing letters of


18



intent and notices of intent and submitting change requests. These fees apply

beginning on April 9, 2009.

1) Application Fees

A) Certificate of Approval or Authorization to Operate, $5,000. Only

one fee of $5,000 shall be charged if both are sought in the same

application. This is a one-time fee that does not apply to entities

that have been previously approved or authorized by the Board.

The fee amount is based on the type of institution and institution

size as outlined in subsection (a)(2).

B) Letter of Intent or Notice of Intent, $250. One fee shall be

submitted with each filing.

C) Authorization to Grant Degrees

i) The fee is based on the type of institution, institution size,

and certificate or degree level as outlined in subsection

(a)(2).

ii) This fee applies to each request for authorization to grant a

new certificate or degree or an additional certificate or

degree in a region.

D) Change Requestrequest, $250. The fee shall be charged for each

request within a region. One submission with 10 requests shall be

assessed for 10 change requests ($2,500).

E) Exemption Fee. The fee shall be charged for each request

submitted to the Board.

2) Schedule of Fees

A) Illinois Not-for-Profit Institutions

Institution Size


18



< 1,000

students

1,000 or

more

students

Certificate of Approval or

Authority to Operate $ 3,000 $ 4,000

Degree Granting Authority per

Region 1,500 2,500

Certificate Approval per Region 750 750

Notice of Intent 500 500

Change Request per Region 250 250

Exemption Fee 250 250

B) Illinois Proprietary Institutions

Institution Size

< 1,000

200

Students

200-500

Students

1,000 or

more> 500

Students



$ 6,000

5,000 $ 5,000

$ 7,000

5,000


RegionAssociate Degree per

Region

2,500

750 950

3,500

1,250

Certificate Approval per

RegionBachelor Degree per

Region

1,000

1,450 1,650

1,000

1,950

Masters Degree per Region 2,250 2,550 2,950

Doctoral/First Professional per

Region 3,500 3,750 4,000

Letter or Notice of Intent 500250 250 500250

Change Request per Region 250 250 250


C) Out-of-State Institutions


18



Institution Size

< 1,000

200

Students

200-500

Students

1,000 or

more>500

Students



$ 7,000

5,000 $ 5,000

$ 8,000

5,000


RegionAssociate Degree per

Region

3,500

1,750 1,950

4,500

2,250

Certificate Approval by

RegionBachelor Degree per

Region

1,750

2,450 2,650

1,750

2,950

Masters Degree per Region 3,250 3,550 3,950

Doctoral/First Professional per

Region 4,500 4,750 5,000

Letter or Notice of Intent 500250 250 500250

Change Request per Region 250 250 250


b) Remittance

1) Fees shall be submitted as check, certified check, cashier's check, or

money order payable to the Illinois Board of Higher Education.

2) The Board shall return fees if, after further investigation, the Board

determines that the institution's request does not require Board approval or

authorization, minus a fee of $250 for processing. No refund shall be

awarded for any application that requires Board approval and has been

reviewed by Board staff. Applications withdrawn by the institution or

returned by Board staff shall receive no refund.

3) Fees shall be submitted to:


Academic Affairs Fee Remittance

1 North Old State Capitol Plaza, Suite 333


18



431 East Adams, Second Floor

Springfield IL, Illinois 62701-1404

c) Processing

1) Applications, notices, and change requests submitted to the Board with

insufficient fees shall be considered incomplete. The Board will notify the

institution of the amount due. No further action shall be taken by the

Board until the full amount due is submitted.

2) Applications, notices and change requests submitted to the Board with

incorrect fees shall be considered incomplete. The incorrect fee amount

will be returned to the institution. No further action shall be taken by the

Board until the full and correct fee amount due is submitted.

3) The Board will not accept applications from institutions that have not

provided the information necessary for the Board to process a previously

submitted application.



18



1) Heading of the Part: Approval of New Units of Instruction, Research and Public Service

at Public Institutions



1050.20 Amendment

1050.30 Amendment

1050.50 Amendment

4) Statutory Authority: Board of Higher Education Act [110 ILCS 205/7 and 9.05]





Procedure Act.

8) A copy of the adopted rulemaking is on file in the Board of Higher Education’s office

and is available for public inspection.



11) Differences between Proposal and Final Version: Section 1050.50(c)(7)(D)(iii) was

deleted. Non-substantive changes were made in response to comments from the Joint

Committee on Administrative Rules.






18




recommendations of the Board's ad hoc committee after their review of the four existing













217/557-7358


fax: 217/782-8548



18






PART 1050

APPROVAL OF NEW UNITS OF INSTRUCTION, RESEARCH

AND PUBLIC SERVICE AT PUBLIC INSTITUTIONS

Section


1050.20 Definitions

1050.30 Criteria for Approval

1050.40 Procedures of Obtaining Approval

1050.50 Review of Existing Units of Instruction, Research and Public Service

1050.ILLUSTRATION A Map of Regions

AUTHORITY: Implementing Section 7 and authorized by Section 9.05 of the Board of Higher

Education Act [110 ILCS 205/7 and 9.05].

SOURCE: Amended and effective April 15, 1976; rules repealed and new rules adopted and

codified at 8 Ill. Reg. 16907, effective September 4, 1984; amended at 23 Ill. Reg. 13074,

effective October 13, 1999; amended at 33 Ill. Reg. 78, effective December 23, 2008; amended

at 36 Ill. Reg. 6566, effective April 11, 2012; amended at 42 Ill. Reg. 120, effective December

19, 2017.









668.152.)


18



"Annual listing of changes" means the annual notification to the Board of one or

more of the following:

Addition of an externally funded research or public service activity labeled

as a center or institute because of grant requirements. The activity is

temporary, not formally organized, and has no continuous mission.

Change in a degree title (e.g., the name of a discipline or major without

changes in objectives or content, such as the change from "medical

technology" to "clinical laboratory sciences").

Change in the name of an administrative (including departments), research

or public service unit.

Elimination, temporary suspension or phase-down of an existing board-

approved program.

Reorganization, restructuring, consolidation, elimination and other

changes of existing administrative (including departments), research or

public service units that do not result in an increase in subunits.

Creation of a certificate program in a field in which there is a previously

approved degree program (e.g., undergraduate certificates at Levels 1 and

2 from a prior approved bachelor's program; post-baccalaureate

certificates at Level 5 from a prior approved master's program).

Creation of a joint degree program from two previously approved

programs.

"Board" refers to the Board of Higher Education.

"Board of Control" means one of the following:

The Board of Trustees of the University of Illinois, the Board of Trustees

of Southern Illinois University, the Board of Trustees of Chicago State

University, the Board of Trustees of Eastern Illinois University, the Board

of Trustees of Governors State University, the Board of Trustees of


18



Illinois State University, the Board of Trustees of Northeastern Illinois

University, the Board of Trustees of Northern Illinois University, the

Board of Trustees of Western Illinois University, the Illinois Community

College Board, or the campuses under their governance or supervision.

"Certificate or degree program" means a formal award that is included in an

institution's catalog and completion of which is noted on students' official

transcripts certifying the satisfactory completion of undergraduate, post-

baccalaureate or graduate organized program of study at an institution.

"Credit hour" means an amount of work represented in intended learning

outcomes and verified by evidence of student achievement that is an

institutionally established equivalency that reasonably approximates not less than:

One hour of classroom or direct faculty instruction and a minimum of two

hours of out-of-class student work each week for approximately 15 weeks

for one semester or trimester hour of credit, or 10 to 12 weeks for one

quarter hour of credit, or the equivalent amount of work over a different

period of time; or

Documented student learning outcomes and evidence of student

achievement resulting from a program provided through an alternative

delivery method that demonstrates equivalency to those competencies

achievedoffered through traditional classroom delivery; or

At least an equivalent amount of student work as required to achieve

intended learning outcomes or competencies as verified by evidence of

student achievement for other academic activities as established by the

institution, including prior learning assessment, laboratory work,

internships, practica, studio work, and other academic work leading to the

award of each credit hour.

"Degree" means any designation, appellation, series of letters or words, or other

symbol that signifies or purports to signify that the recipient has satisfactorily

completed an organized program of study of at least one year beyond the

secondary school level. It shall include, but not be limited to, the following:

certificate, associate, bachelor, post-baccalaureate certificate, master, post-master


18



certificate, doctor's degree − professional practice (degree required for entry into

specific profession such as law or medicine), and doctor's degree − research and

scholarship.

"Dual credit" means an instructional arrangement in which an academically

qualified student currently enrolled in high school enrolls in a college-level course

and, upon successful course completion, concurrently earns both college credit

and high school credit.




"General education" provides students with a broad foundation of study upon

which to build an undergraduate education.

"Home campus" is also known as "in-region". Both "home campus" and "in-

region" are defined as the Board approved region within which the institution's

original campus would have been located had the regions existed at that time.


instruction at a distance facilitated by technology, such as via teleconferencing,


"New branch" or "new campus" means a new site that houses a full range of

instruction, as well as administrative and support services.

A "branch" is an administrative unit of an institution that has a continuing

educational mission and serves as a secondary instructional site for the

institution.

A "campus" is an organized administrative unit of an institution that has a

continuing educational mission and serves as a primary instructional site

for the institution.

A "new branch" or "new campus" is characterized by the following

criteria: the site offers courses in educational programs leading to a


18



degree, certificate or other recognized educational credential; it is

permanent in nature; it has its own faculty and administrative or

supervisory organization; and has its own budgetary and hiring authority.

"New instructional location" means an additional out-of-region instructional site

separate from a branch or campus at which 50 percent or more of a program is

offered, but that otherwise does not meet the definition of a new branch or

campus. A new location does not constitute a new branch or campus unless the

site meets the other criteria in the definition of a branch or campus. For programs

that are currentlyhave been previously authorized by the Board, institutions may

request a reasonableReasonable and moderate extensionModerate Extension

request to add the program to an out-of-region new instructional location.

"New geographical location" is also known as "out-of-region". Both "new

geographical location" and "out-of-region" sites are those sites located outside of

the region within which the institution's original campus would have been located

had the regions existed at that time.

"New unit of instruction" means one or more of the following:

Any new organized program of study beyond the secondary school level

that results in the formal award of a degree to a student.

Any organized program of study beyond the secondary school level that is

offered at a new geographical location and results in the award to a student

of an existing degree (i.e., one that is currently granted by the institution).

Any new formally organized administrative entity that would have a

continuing instructional mission, including but not limited to a campus,

branch, college, school, department or division.

"New unit of instruction, research or public service" includes the establishment of

a college, school, division, institute, department or other unit in any field of

instruction, research or public service not previously included in the program of

the institution, and includes the establishment of any new branch or campus. The

term does not include reasonable and moderate extensions of existing curricula,

research, or public service programs that have a direct relationship to existing


18



programs; the Board may, under its rulemaking power, define the character of

reasonable and moderate extensions. [110 ILCS 205/7]

"New unit of public service" means any new formally organized administrative

entity that would have a continuing public service mission, including but not

limited to a school, department, division, institute or center.

"New unit of research" means any new formally organized administrative entity

that would have a continuing research mission, including but not limited to a

school, department, division, institute or center.

"Notice of intent" or "NOI" means the filing of intent for a new program or unit

by the institution that is seeking certificate or degree granting authority. Notices

of intent shall be publicly posted on the Board's website for no less than 30 days

prior to any Board action on the application and shall remain active for one year

after the public posting period has expired.

"Reasonable and moderate extension" or "RME" means one or more of the

following:

An addition to or modification of an existing unit of instruction that has a

direct relationship to the existing unit and that does not result in a

significant change in curriculum, objectives or resources for the unit of

instruction.

An addition of a unit supported primarily through external funding,

including the establishment of a grant-funded center. When approved

under this category, the unit would hold approval through the period of

external funding and would not require additional approval unless the

external funding was no longer available. The university would not

commit to maintain the unit if the external funding was lost and the

university would report elimination of the center through the annual listing

process provided to the Board.

Creation of a new formally organized research or public service unit that

has a temporary mission of up to five years. (Criteria for continuation and


18



a date for submission and request for permanent approval should

accompany the RME.)

Creation of a certificate program in a field or at a level in which there is

not a previously approved degree program at that level or a higher level.

Creation of a new program that results from the reorganization or

restructuring of the curricular elements of an existing program that have

over time evolved into separate and distinct programs (e.g., split into two

or more autonomous programs, or options have evolved into separate

programs).

Reclassification of a program resulting from incremental changes or

consolidation of two or more degree programs into a single program with

a change of the Classification of Instructional Programs (CIP) developed

by the National Center for Educational Statistics.

Changes in degree designation at the same level (e.g., B.A. to B.F.A.,

B.B.A. to B.S., M.A. to M.S., or D.B.A. to Ph.D.).

Creation of an out-of-region degree program. As much as possible the

proposed program should be functionally equivalent to the existing

program offered on campus, including curriculum, faculty qualifications,

instructional technology, and library resources. The program must have

effective student support systems.An addition of an out-of-region Board

approved program of study at a new instructional location.

An addition to or modification of an existing unit of research or public

service that has a direct relationship to an existing unit of instruction,

research or public service; is consistent with the existing research or

public service mission of the campus; and will be concluded within a well

defined time frame.

A change in classification, title or degree designation of an existing unit of

instruction, research or public service that more accurately reflects the

content, objectives and programmatic activities for the unit.


18



An addition of a certificate program from one or more existing units of

instruction.

"Region" refers to a geographical area within which an institution may operate a

unit of instruction, research and public service and is not limited to the site within

the region where the institution initially applied. A region consists of one or more

coterminous community college districts. The community college districts are

also property taxing districts established as provided in 110 ILCS 805/Art. III.

The ten regions, described by community college district and community college

district numbers, are as follows (see also Illustration A):

"North Suburban Region (1)" consists of the Lake County (532), Oakton

(535), and William R. Harper (512) community college districts;

"Fox Valley Region (2)" consists of the Elgin (509), Kishwaukee (523),

McHenry (528), Rock Valley (511), and Waubonsee (516) community

college districts;

"West Suburban Region (3)" consists of the DuPage (502), Morton (527),

and Triton (504) community college districts;

"Western Region (4)" consists of the Black Hawk (503), Carl Sandburg

(518), Highland (519), John Wood (539), Sauk Valley (506), and Spoon

River (534) community college districts;

"Central Region (5)" consists of the Heartland (540), Illinois Central

District (514), Illinois Valley (513), and Lincoln Land (526) community

college districts;

"South Metro Region (6)" consists of the Joliet (525), Kankakee (520),

Moraine Valley (524), Prairie State (515), and South Suburban (510)


"Prairie Region (7)" consists of the Danville (507), Lake Land (517),

Parkland (505), and Richland (537) community college districts;


18



"Southwestern Region (8)" consists of the Illinois Eastern (529),

Kaskaskia (501), Lewis and Clark (536), and Southwestern Illinois (522)


"Southern Region (9)" consists of the John A. Logan (530), Rend Lake

(521), Shawnee (531), and Southeastern (533) community college

districts; and

"Chicago Region (10)" consists of the City Colleges of Chicago (508)

community college district.

"State Authorization Reciprocity Agreement" or "SARA" means the voluntary

program that implements reciprocity agreements amongst states, institutions and

the National Council for SARA for interstate offering of postsecondary distance

education courses and programs, pursuant to the Higher Education Distance

Learning Act [110 ILCS 145].

"Terminal degree" means the highest level of college degree available in a

particular field.

"Upper-division instruction" means course content and teaching appropriate for

junior- and senior-year students in a baccalaureate program or other students with

expertise in the subject.


Section 1050.30 Criteria for Approval

The Board of Higher Education will evaluate new units of instruction, research or public service

by applying the following criteria:

a) Criteria Applicable to All Units of Instruction, Research and Public Service

1) Mission and Objectives

A) The objectives of the unit of instruction, research or public service

are consistent with the mission of the college or university.


18



B) The objectives of the unit of instruction, research or public service

are consistent with what the unit title implies.

2) Academic Control

The design, conduct and evaluation of the unit of instruction, research or

public service are under the direct and continuous control of the

sponsoring institution's established processes for academic planning and

quality maintenance.

3) Faculty and Staff

A) The academic preparation and experience of faculty and staff

ensure that the objectives of the unit of instruction, research or

public service are met.

B) The academic preparation and experience of the faculty and staff,

as evidenced by level of degrees held, professional experience in

the field of study and demonstrated knowledge of the field, ensure

that they are able to fulfill their academic responsibilities. At a

minimum, faculty shall have a degree from an institution

accredited by a U.S. Department of Education and/or Council for

Higher Education Accreditation recognized accrediting body or a

degree from another country evaluated for U.S. equivalency in the

discipline they will teach or for which they will develop curricula

at least one level above that of the courses being taught or

developed.

i) Faculty providing undergraduate general education

coursework shall possess, at a minimum, a master's degree

with 18 graduate hours appropriate to the academic field or

discipline in which they are teachingin the field of

instruction.

ii) Faculty engaged in providing technical and career

coursework at the associate degree level shall possess, at a

minimum, at least 2,000 hours of work experience and the


18



appropriate recognized credential depending on the specific

fielda bachelor's degree in the field of instruction or

equivalent training in the occupational field.

iii) Faculty teaching in a baccalaureate degree program shall

have, at a minimum, a master's degree in the field of

instruction.

iv) Faculty teaching in a graduate program shall have a

doctorate or terminal degree in the field of instruction.

v) Exceptions may be made by the Board for professional

experience, equivalent training and other qualifications;

however, except in extraordinary circumstances, these

should prove the exception and not the rule in meeting

faculty qualification requirements.

C) The involvement of faculty in the unit of instruction, research or

public service is sufficient to cover the various fields of knowledge

encompassed by the unit, to sustain scholarship appropriate to the

unit, and to assure curricular continuity and consistency in student

evaluation.

D) Faculty to student ratios and full time faculty to part time faculty

ratios shall be factors in determining appropriate provision of

qualified faculty. Institutions shall have policies in place that serve

to ensure equivalency of instruction and program delivery across

faculty members, including methods of measuring equivalency of

student learning outcomes across faculty. The Board will establish

minimum rates of success based on data for similar institutions.

The ratios shall be, at a minimum, higher than those of the lowest

quartile of these measures for similar Illinois institutions defined as

open versus competitive enrollment institutions, and primarily

associate versus primarily baccalaureate granting institutions.

Exceptions may be made to the lowest quartile if an institution is

above the national average for these measures using the same



18



E) Support personnel, including but not limited to counselors,

administrators, clinical supervisors, and technical staff, that are

directly assigned to the unit of instruction, research or public

service, have the educational background and experience necessary

to carry out their assigned responsibilities.

4) Support Services

A) Facilities, equipment and instructional resources (e.g., laboratory

supplies and equipment, instructional materials, computational

equipment) necessary to support high quality academic work in the

unit of instruction, research or public service are available and

maintained.

B) Clinical sites necessary to meet the objectives of the unit of

instruction, research or public service.

C) Library holdings and acquisitions, owned or contracted for by the

institution, that are necessary to support high quality instruction

and scholarship in the unit of instruction, research and public

service, are conveniently available and accessible, and can be

maintained.

5) Financial

A) The financial commitments to support the unit of instruction,

research or public service are sufficient to ensure that the faculty

and staff and support services necessary to offer the unit of

instruction, research or public service can be acquired and

maintained.

B) Projections of revenues necessary to support the unit of instruction,

research or public service are based upon supportable estimates of

state appropriations, local tax support, student tuition and fees,

private gifts, and/or governmental grants and contracts.


18



6) Statewide Needs and Priorities

A) The unit of instruction, research or public service is educationally

and economically consistent withjustified based on the educational

priorities and needs of the Statecitizens of Illinois.

B) The unit of instruction, research or public service meets a need that

is not currently met by existing institutions and units of instruction,

research or public service.

b) Criteria Applicable Only to Units of Instruction

1) Curriculum

A) The caliber and content of the curriculum must assure that the

objectives of the unit of instruction will be achieved.

B) The breadth and depth of the curriculum must be consistent with

what the title of the unit of instruction implies.

C) The admission and graduation requirements for the unit of

instruction must be consistent with the stated objectives of the unit

of instruction.

D) Institutions must show the capacity to develop, deliver and support

academic programs. Procedures and policies that will assure the

effective design, conduct and evaluation of the degree program

under the academic control of the institution must be developed.

Assessment plans must demonstrate that the institution has

identified clear and appropriate program and student learning goals

and has defined appropriate outcomes. Appropriate data must be

collected and may be requested by the Board to show the level of

student learning that has occurred as a result of participation in the

institution's programs of study.

E) Appropriate steps shall be taken to ensure that programmatic

accreditation needed for licensure or entry into a profession as


18



specified in the objectives of the unit will be sought in a reasonable

amount of time and will be maintained throughout the life of the

program.

FE) Degree programs must meet the following credit hour

requirements:

i) Associate degree requires at least 60 semester credit hours

or 90 quarter credit hours.

ii) Baccalaureate degree requires at least 120 semester credit

hours or 180 quarter credit hours and at least 40 semester

credit hours (60 quarter credit hours) in upper-division

courses.

iii) Master's degree requires at least 30 semester credit hours or

45 quarter credit hours of appropriate post-baccalaureate

coursework.

iv) Doctor's degree – Professional Practice requires the

completion of a program providing the knowledge and

skills for the recognition, credential or license required for

professional practicethe academic requirements to begin

practice in the profession; at least 60 semester hours of

postsecondary credit required for admission to the program;

and a total of at least six academic years of college work to

complete the degree program, including prior required

postsecondary work plus the length of the professional

program itself.

v) Doctor's degree – Research and Scholarship requires the

completion of an organized program of study beyond the

master's level. The program shall demonstrate full

understanding of the level and range of doctoral

scholarship; the function of a dissertation and its defense

based on original research, or the planning and execution of

an original project demonstrating substantial artistic or


18



scholarly achievement; the nature of comprehensive

examination; and other standards commonly held for these

degrees; at least 2 full time years of advanced academic

coursework beyond the master's degree; and an

independent performance of basic or applied research at the

level of the professional scholar, typically a dissertation, or

to perform independently the work of a profession that

involves the highest levels of knowledge and

expertiseResearch and Scholarship requires the completion

of an organized program of study beyond the master's

degree and requiring completion of an organized program

of study. The program shall demonstrate full

understanding of the level and range of doctoral

scholarship, the function of a dissertation and its defense,

the nature of comprehensive examination, and other

standards commonly held for such degrees; at least 2 full

time years of advanced academic coursework beyond the

master's degree; and an independent performance of basic

or applied research at the level of the professional scholar,

typically a dissertation, or to perform independently the

work of a profession that involves the highest levels of

knowledge and expertise.

GF) Provision must be made for guidance and counseling of students,

evaluations of student performance, continuous monitoring of

progress of students toward their degree objectives and appropriate

academic record keeping.

HG) Success in student progression and graduation across all existing

approved programs, and success rates in programs preparing

students for certification and licensure, shall be consistent with

expectations in higher education and the appropriate related field

of study. At a minimum the Board shall consider these factors

based on results for similar institutions.

i) Graduation rates, certificate and degree completion rates,

retention rates, and pass rates for licensure and certification


18



aligned with thresholds set by State or national regulatory

bodies.

ii) The success rate shall be, at a minimum, higher than those



institutions, and primarily associate versus primarily





IH) Additional student success measures shall be considered in the


minimum rates of success based on results for similar institutions.

i) At a minimum, these data shall include student loan default

rates, student indebtedness rates, job placement rates,

student learning measures and other success indicators.

ii) The success rate shall be, at a minimum, higher than those



institutions, and primarily associate versus primarily





JI) Requirements for Technologically Mediated Instruction Offered at

a Distance. In addition to meeting other requirements in this Part,

programs offered through electronically mediated distance learning

must, at a minimum, meet the following requirements:

i) The institution assures adequacy of technical and physical

plant facilities, including appropriate staffing and technical

assistance, to support its electronically offered programs.


18



ii) The institution provides students, faculty and staff with

effective technical support and training for each

educational technology hardware, software and delivery

system required in a program. The institution provides

adequate technical support to ensure students are able to

complete coursework and make steady progress in their

programs.The help desk function is available to students

during hours when it is likely to be needed, at a minimum

of 18 hours a day.

iii) Appropriate measures for security of systems and adequacy

of support are maintained. The selection of technologies is

based on appropriateness for the students, faculty and

curriculum.

iv) Faculty are full participants in decisions regarding curricula

and program oversight.

v) Demonstration of student learning and program outcomes

are appropriate to the field and degree level and consistent

regardless of program delivery method.

vi) Appropriate admission processes, policies and assessments

are used to ensure that students are capable of succeeding

in an on-line learning environment. Students shall be

adequately informed of the nature and expectations of on-

line learning.

vii) Assessments of student learning, especially exams, take

place in circumstances that include definite student

identification and assurance of the integrity of student

work.

viii) Assessment of electronically offered programs by the

institution occurs in the context of the regular evaluation of

all academic programs.


18



2) Program Information

A) The information the institution provides for students and the public

shall include the following:

i) An accurate description of the unit of instruction, including

its objectives, length and residency requirements if any;

ii) Schedule of tuition, fees, and all other charges and

expenses necessary for completion of the unit of

instruction, and cancellation and refund policies;

iii) Student rights and responsibilities;

iv) A statement regarding the transferability of college credits,

including the fact that the decision to accept transfer credits

is determined by the receiving institutions;

v) A statement as to how the institution will advise students

on the nature of the transfer process, including the

importance of consulting with institutions to which the

student may seek to transfer;

vi) Evidence of arrangements for the transfer of courses or

credits or both to institutional counterparts, when these

arrangements exist; these arrangements are also known as

articulation agreements;

vii) A statement of the institution's most recent graduation rates

and the number of graduates and enrollments as provided

by the institution to the Integrated Postsecondary Education

Data System (IPEDS) and any submissions of data to

satisfy Board reporting requirements; and


18



viii) Other material facts concerning the institution and the unit

of instruction as are likely to affect the decision of the

student to enroll.

B) The information listed in subsection (b)(2)(A) shall be available to

prospective students prior to enrollment and shall be included in

the institution's catalog of programs.

3) Accreditation and Licensure

Appropriate steps shall be taken to assure that professional accreditation

needed for licensure or entry into a profession as specified in the

objectives of the unit of instruction is maintained or will be granted in a

reasonable period of time.

c) Institutions Exempt from Approval

1) Institutions offering a Board approved degree program at another site

within the same region shall not be required to apply for additional Board

approval.

2) Institutions offering a degree program at the University Center of Lake

County or the Quad-Cities Graduate Center shall not be required to apply

for additional Board approval when offering degree programs approved

for their home campus. For these institutions, center approval is required

and the center shall be treated as part of their home campus, provided the

center has notified the Board of its approval of the new degree program.

3) Institutions offering a Board approved degree program through mediated

instruction shall not be required to apply for additional Board approval.

4) Institutions offering temporary programs meeting the following criteria

shall not be required to apply for Board approval:

A) The unit of instruction is approved for offering in-region, and the

academic standards of the in-region unit are maintained at the out-

of-region site; and


18



B) The out-of-region unit of instruction is offered under contract to a

single business, service organization, or government agency and

enrollment is restricted to employees of the contracting business,

employees or members of the organization or agency, or, in the

case of a regional office of education, to the employees of public

school districts within the region; and

C) The contractual arrangement assures that the out-of-region unit of

instruction is self-supporting; that is, no State resources are

required to support it; and

D) The out-of-region unit of instruction is offered to a single group of

entering students for a single cycle not to exceed three years.

Should the institution wish to continue the unit of instruction at the

out-of-region site beyond the single cycle, the institution must

submit an application for Board of Higher Education approval.

5) Additional Board approval is not required for Board approved institutions

offering programs:

A) Programs or courses onOn federal military bases exclusively to

base personnel and their family members;

B) ClinicalAt clinical or practice sites that are utilized as a part of

Board approved degree programs;

C) DualOffering dual credit courses to Illinois high school students.

This does not exclude institutions from annual reporting and

evidence of compliance with the Dual Credit Quality Act [110

ILCS 27] in high schools; or

D) Programs or coursesOffering courses inside public correctional

facilities.


Section 1050.50 Review of Existing Units of Instruction, Research and Public Service


18



The Board of Higher Education is authorized to review, periodically, all existing programs of

instruction, research and public service at the State universities and colleges and to advise the

appropriate board of control if the contribution of each program is not educationally and

economically justified. [110 ILCS 205/7]

a) Units of Instruction Approved after December 23, 2008

1) Third Year Progress Report

Three years after approval of a new program, the institution shall provide

a program progress report to the Board as part of the institution's annual

report. The third year progress report shall describe the institution's

performance in meeting program objectives and show where any

improvements are necessary. The placement of a program in voluntary

temporary suspension will not negate the requirement of submitting a third

year progress report.

2) Third Year Status as Determined by the Institution

A) Program in Good Standing: The institution is meeting the program

objectives as outlined in the original application that was submitted

during the program approval process.

B) Program Flagged for Review: The institution is not meeting the

program objectives as outlined in the original application that was

submitted during the program approval process. In that event, the

institution shall flag the program for review and shall submit a plan

for improvement. The plan will outline the steps to be taken,

benchmarks indicating adequate progress, and a timeline indicating

step completion and/or benchmark achievement points.

C) Additional Requirement for Programs in which State Licensure is

Required for Employment in the Field: In the case of a program in

which State licensure is required for employment in the field, a

program can be found to be in good standing if the institution is

able to provide evidence that program graduates are eligible to take

the appropriate licensure examination and pass rates are


18



maintained as specified in the objectives of the unit of instruction.

If there is no such evidence, the institution shall report the program

as flagged for review.

3) Upon completion of the third year progress report or the annual interim

report required for programs flagged for review:

A) If the program is in good standing, the institution will add the

program to the eight-year program review cycle as provided in

subsection (b).

B) If the program has been flagged for review, the institution shall

submit annual interim reports until the status of good standing is

achieved. A flagged program will no longer be considered a Board

approved program beyond the fifth anniversary of its original

approval. If no required annual interim report is submitted for a

flagged program, the Board will interpret the absence of an annual

interim report as an indication that the institution has terminated

the program and the program will no longer be considered a Board

approved program.

C) Annual interim reports on flagged programs shall:

i) Delineate actions taken to resolve the issues or improve the

program;

ii) Identify areas for further action or improvement; and

iii) Describe how the program will be monitored to ensure

continued improvement until the next review.

D) An institution may request approval to place a program in

voluntary temporary suspension. That status does not negate the

requirement for submitting annual interim reports and does not

negate the limitation of five years duration as a program flagged

for review.


18



4) Community Colleges

Community colleges may be deemed compliant with the program review

process by participating in a comparable review required by the Illinois

Community College Board. This will not abrogate the Board of Higher

Education's authority to request reviews of community college programs.

b) Existing and newly approved units of instruction that have been identified as

being in good standing will be reviewed on an eight-year cycle.

1) Eight-year Program Review Process

Programs deemed to be in good standing will be reviewed by the

institution on a staggered eight-year cycle, with the institution determining

the schedule for individual programs, but requiring that each program be

reviewed at least once every eight years. Each institution will implement

a program review process that best meets its unique needs and that is

consistent with Board requirements as contained in this subsection (b) for

the eight-year cycle. Institutions have the discretion to use findings from

specialized program accreditations and other reviews as the basis of the

program review as long as the findings are not more than two years old.

When an existing report or review is to be used, the institutions will

inform the Board of the process prior to the review. While the institution is

responsible for developing its unique program review procedures, it shall

include, at a minimum, the following components:

A) A statement of program goals and intended learning outcomes;

B) An end- or near-end-of-program assessment of student learning, in

addition to course-by-course assessments;

C) Multiple performance measures, if necessary, that reflect the

uniqueness of academic programs and disciplines;

D) Feedback from key stakeholders (e.g., current students, alumni,

employers and graduate schools);


18



E) Evidence of a formal feedback or improvement mechanism (i.e., a

regular review process in place) and that the results are used to

improve curriculum, instruction and learning;

F) Improvements to its capacity to efficiently and effectively deliver

programs using technological innovation and comprehensive data

systems; and

G) Findings and recommendations for improvement, suspension or

closure.

2) Status Report

A) Upon the conclusion of the eight-year review, the institution shall

provide to the Board a summary report that contains, at a

minimum, the following:

i) Description and assessment of any major changes in the

program, including changes in the discipline or field,

student demand, societal needs, institutional context for

offering the degree, and other elements appropriate to the

discipline;

ii) Major findings and recommendations, including evidence

of student learning outcomes and identification of

opportunities for program improvement;

iii) Actions taken since the last review, including instructional

resources and practices, and curricular changes; and

iv) Actions to be taken as a result of this review, including

changes in instructional resources and practices, curriculum

and assessment of student learning.

B) The institution shall determine the status of the program. A

program may be in one of three categories: in good standing;

flagged for review; or under temporary suspension.


18




Community colleges may be deemed compliant with the eight-year

program review cycle by participating in a comparable review required by

the Illinois Community College Board. This will not abrogate the Board

of Higher Education's authority to request reviews of community college

programs.

c) Units of instruction that have been reviewed as part of an eight-year review

process and are not considered to be in good standing will be reviewed annually

beginning December 23, 2008.

1) Programs Flagged for Review

If the program has been flagged for review, the institution shall submit

annual interim reports until the status of good standing is achieved, but the

program will no longer be considered a Board approved program beyond

the fifth anniversary of the year the program was flagged for review. If no

required annual interim report is submitted for a flagged program, the

Board will interpret the absence of an annual interim report as an

indication that the institution has terminated the program and the program

will no longer be considered a Board approved program. Annual interim

reports on flagged programs shall:

A) Delineate actions taken to resolve the issues or improve the

program;

B) Identify areas for further action or improvement; and

C) Describe how the program will be monitored to ensure continued

improvement until the next review.

2) Programs Placed in Temporary Suspension Status

An institution may place any approved program on temporary suspension

after receiving Board approval. The institution shall provide an annual

status report to the Board on any program under temporary suspension

status. The Board will consider a program placed on temporary suspension

status to be terminated if an annual status report is not received or if no


18



reinstatement request is received within the first five years after the

program was placed on temporary suspension. An institution may petition

for reinstatement during the five-year period.


Community colleges may be deemed compliant with the review process

by participating in a comparable review required by the Illinois

Community College Board. This will not abrogate the Board of Higher

Education's authority to request reviews of community college programs.

4) Annual Report

Each authorized institution shall file annually with the Board its current

catalogs. In addition, institutions must comply with any data requests to

satisfy Board reporting requirements.

5) Complaints Concerning Institutional Degree Practices

The staff of the Board may initiate an investigation in response to written

or oral information suggesting that changes have occurred in the

conditions under which authorization to award degrees was given. During

the investigation, there may be a temporary hold placed on the institution's

applications to the Board for new program approvals and other programs.

The hold will be for a specified period of time not to exceed six months, at

which time the hold will continue until the Board decision is made.

6) Voluntary Relinquishing of Approval

A) Institutions may voluntarily relinquish their approvals for units of

instruction, research or public service, and for reasonable and

moderate extensions. The voluntary relinquishment shall be in

writing and does not require a hearing or any other Board action to

be effective.

B) Institutions relinquishing approval shall be required to provide for

an appropriate repository of records and may be required to

provide a student completion plan that must be approved by the

Board.


18



7) Institutional Closure and Teach Out

An institution that is closing one or more units shall send to the Board the

following:

A) Notice Required

i) Notice of the closure immediately by email or certified

mail;

ii) The name, address and telephone number of the person

who will be responsible for closing arrangements;

iii) A list of students affected and anticipated decisions

regarding teach out for each student (e.g., graduation,

transfer, remain at institution, and participate in teach out,

etc.);

iv) Information on the remaining credit and other requirements

outstanding for each student to complete the program;

v) Copies of the student-directed communication plan that

includes the proposed timeline and methods for notifying

students of teach-out options. Plans must include

communication with any students who may be on approved

leaves of absence or otherwise difficult to reach.

vi) Copies of the communication plans for informing faculty,

staff and other institutional constituents.

B) Teach-Out Plan

i) After December 31, 2017, when a Board approved

educational institution proposes to discontinue its

operation, that institution shall cause to be created a teach-

out plan acceptable to the Board. The teach-out plan shall

fulfill the institution's educational obligations to its

students. Should the institution fail to deliver or act on the


18



teach-out plan, the Board is in no way responsible for

providing the teach out.

ii) A school shall have written plans designed to protect the

contractual rights of its students and graduates in the event

the school closes or undergoes a change of status (e.g., if

the school changes location or if its authority is revoked),

including the right to complete the course of instruction in

which the students or graduates enrolled.

iii) If students are receiving instruction prior to the school's

closing, the school shall file a plan to ensure that the

school's students will continue to receive training of the

same quality and content as that for which they contracted.

C) Arrangements for transferring students to a public or another

approved private institution shall be filed with the Board prior to

any student transfer. Prior to approving the school's arrangements

for completing its teaching obligations to students, the Board shall

verify that students transferring will receive the same kind of

program and instructional services as those for which they

contracted.

D) Academic Records

In the event a school proposes to discontinue its operations, the

chief administrative officer of the school shall arrange for all

original or legible true copies of all such academic records of the

institution to be maintained in a safe and suitable place as

determined by the Board (such as a third party provider, a like

institution, or the Board).

i) These records shall include, at a minimum, the academic

records of each former student that are traditionally

provided on an academic transcript, such as, but not limited

to, courses taken, terms, grades and other such information.


18



ii) The institution shall make students aware of how to obtain

transcripts from either the closed institution and/or new

institution permanently retaining the records.

iii) The institution must release any holds on student records

before operation is discontinued and the records are

transferred.



18



1) Heading of the Part: Private Business and Vocational Schools



1095.30 Amendment

1095.40 Amendment

1095.50 Amendment

1095.80 Amendment

1095.100 Amendment

1095.120 Amendment

1095.210 Amendment

1095.230 Amendment

1095.240 Amendment

1095.250 Amendment

1095.260 Amendment

1095.270 Amendment

4) Statutory Authority: Private Business and Vocational Schools Act of 2012 [105 ILCS

426].





Procedure Act.






18



11) Differences between Proposal and Final Version: Definition for "conviction" was added

in Section 1095.30. Clarified what the Board may consider when determining the moral

character of a governing board member, owner, and senior administrator in Section

1095.40(a)(5). Non-substantive changes were made in response to comments from the

Joint Committee on Administrative Rules.






recommendations of the Board's ad hoc committee after their review of the four existing













217/557-7358


fax: 217/782-8548



18






PART 1095

PRIVATE BUSINESS AND VOCATIONAL SCHOOLS

SUBPART A: SCHOOL APPROVAL

Section

1095.10 Introduction


1095.30 Definitions

1095.40 Criteria for Evaluation of the Application for a Permit of Approval

1095.50 Procedures for Obtaining a Permit of Approval

1095.60 Criteria for Evaluation of the Application for a New Program

1095.70 Requirements for Technologically Mediated Instruction Offered from a Distance

1095.80 Procedures for Obtaining Approval to Offer One or More New Certificates

1095.90 Change of Location

1095.100 Classroom Extension

1095.110 Change of Ownership

1095.120 School Application and Renewal Fees

SUBPART B: MAINTENANCE OF APPROVAL

Section

1095.200 Annual Renewal

1095.210 Surety Bond

1095.220 Liability Insurance

1095.230 Lack of Compliance

1095.240 Disclosures

1095.250 Student Complaints

1095.260 Cease and Desist Orders

1095.270 School Closing and Student Transcripts

AUTHORITY: Implementing and authorized by the Private Business and Vocational Schools

Act of 2012 [105 ILCS 426].


18



SOURCE: Emergency rules adopted at 36 Ill. Reg. 3067, effective February 8, 2012, for a

maximum of 150 days; emergency expired July 6, 2012; adopted at 36 Ill. Reg. 12262, effective

July 18, 2012; amended at 42 Ill. Reg. 151, effective December 19, 2017.

SUBPART A: SCHOOL APPROVAL









668.152.)

"Act" means the Private Business and Vocational Schools Act of 2012 [105 ILCS

426].

"Board" means the Board of Higher Education established under the Board of

Higher Education Act [110 ILCS 205] or its Division of Public Business and

Vocational Schools (Section 15 of the Act). In those cases in which the term is

used to refer to prior approval or lack of prior approval for a school application

prior to February 1, 2012, the term "Board" shall mean the State Board of

Education or State Superintendent of Education.

"Certificate of completion" or "certificate" means any designation, appellation,

series of letters or words, or other symbol that signifies or purports to signify that

the recipient thereof has satisfactorily completed a private business and

vocational school's program of study that is beyond the secondary school level,

but not a post-secondary degree program at the associate, baccalaureate,

master's, doctoral, or post-baccalaureate, professional degree level. (Section 15

of the Act)


18



"Chief managing employee" is the individual who is the head administrator or

supervisor at a school's principal location. (Section 15 of the Act)

"Classroom extension" means the school has existing approval or is seeking

additional Board approval to offer an existing program of study at a location other

than the school's principal location.

"Conviction" includes a conviction by a plea of guilt, finding of guilt, jury verdict,

entry of judgment or sentencing of either a felony or a criminal offense as

specified in Section 1095.40 of these rules that has not been sealed, expunged or

reversed by a higher court.

"Educational institution" or "institution" means an organization that promotes

business and vocational education, even though the institution's principal effort

may not be exclusively educational in nature. (Section 15 of the Act)

"Enrollment agreement" means any agreement or instrument, however named,

that creates or evidences an obligation binding a student to purchase a program

of study from a school. (Section 15 of the Act)




"Institution size" means the total number of students enrolled in the school during

a fiscal year (i.e., July 1 to June 30 of the following year).


instruction from a distance facilitated by technology, such as via teleconferencing,


"Non-degree program of study" or "program of study" means any designation,

appellation, series of letters or words, or other symbol that signifies or purports

to signify that the recipient has satisfactorily completed an organized academic

program of study beyond the secondary school level, such as a certificate, but

below the associate's degree level and that does not include any recognized


18



degree program such as an associate's, baccalaureate, master's, or doctoral

degree, a post-baccalaureate, professional degree, or a post-degree certificate,

such as a post-baccalaureate certificate, post-master's certificate, or post-

doctoral certificate. (Section 15 of the Act)

"Out-of-state school" means an institution described in this Part that is not

otherwise exempted from approval and meets one of the following:


initially incorporated or organized under domestic laws other than the laws

of this State, if required, and initially operated outside the State; or

Not-for-profit corporation, limited liability company, or other entity that

maintains its primary place of business or home office outside this State.

"Permit of approval" means a non-transferable permit, issued by and pursuant to

the authority of the Board of Higher Education through its Division of Private

Business and Vocational Schools to a private business and vocational school in

the name of the school, that authorizes the school to solicit students and to offer

and maintain one or more courses of instruction in compliance with the

provisions of the Act and such standards and rules as may be adopted by the

Board in this Part. (Section 15 of the Act)

"Program of study" as used in this definition means any academic program

beyond the secondary school level, except for a program that is devoted entirely

to religion or theology, a program offered by an institution operating under the

authority of the Private College Act, the Academic Degree Act, or the Board of

Higher Education Act, or a program of study of less than one year in length

operating under the statutory authority granted to the Department of Financial

and Professional Regulation. (Section 15 of the Act)

"Tuition" means, solely for the purposes of this Part, the total student cost of the

course of instruction and all other fees for services and facilities furnished or

made available to the student by or through the school and/or third parties,

including, without limitation, corporate partners or donors, in connection with

athe student's matriculation and study and completion of a non-degree program of

study, including all charges or expenditures made by the school and/or third


18



parties, including, without limitation, corporate partners or donors, for tuition,

room and board, books, materials, supplies, laboratory, shop and studio fees, and

other expenses.

"Unearned prepaid tuition" means the amount paid to the school by a student or

on behalf of a student for which educational services have not yet been rendered.

For example, a student pays a school the total amount of $500 dollars prior to the

first day of class. In this scenario, the school initially holds $500 in unearned

prepaid tuition from that student. After 10% of the course is completed, the school

will hold $450 in unearned prepaid tuition from that student. After 20% of the

course is completed, the school will hold $400 in unearned prepaid tuition from

that student and so on.


Section 1095.40 Criteria for Evaluation of the Application for a Permit of Approval

The Board shall approve all schools described in Sections 1095.20(a) and (b) that are not

otherwise exempted in Section 1095.20(d). The following standard criteria are intended to

measure the appropriateness of the stated educational objectives of the educational programs of

a given institution and the extent to which suitable and proper processes have been developed

for meeting those objectives. Information related to the satisfaction of the approval criteria

outlined in Section 35 of the Act and this Part must be supplied to the Board by institutions on

forms provided by the Board. Additional information may be requested by the Board to

determine the institution's ability to satisfy the criteria. (Section 35 of the Act)

a) Qualifications of Governing Board Members, Owners, and Senior Administrators

At a minimum, these individuals must be of good moral character and have no

felony criminal record. (Section 35 of the Act)

1) Governing board members, owners and senior administrators have not

been involved with a postsecondary educational institution that had

institutional authorization to operate in a State revoked during the past 7

years.


controlled, managed, or been involved with a postsecondary educational


18



institution that has ceased operation during the past 7 years that did not

provide for the completion of programs by its students, did not provide

tuition refunds, and/or resulted in the loss of time or money for enrollees.


knowingly falsified or withheld information from oversight agencies.

4) Governing board members, owners and senior administrators do not have

a prior conviction of a felony involving fraud, dishonesty, false statement

or some other element of deceit, untruthfulness or falsification.

5) The Board shall not regard the fact of a prior criminal conviction as

evidence of a lack of good moral character. In determining the moral

character of a governing board members, owners and senior administrators

on the basis of a prior criminal conviction, or that person's rehabilitation

following a felony conviction, the Board may consider:

A) the time that has elapsed since the offense;

B) the bearing the criminal offense for which the governing board

members, owners and senior administrators was previously

convicted will have on his or her fitness or ability to perform one

or more of his or her duties and responsibilities;

C) any information produced by the governing board members,

owners and senior administrators with a prior conviction on his or

her behalf in regard to his or her rehabilitation, including, but not

limited to, a Certificate of Relief from Disabilities described in

Section 5-5.5-10 of the Unified Code of Corrections [730 ILCS 5]

or Certificate of Good Conduct described in Section 5-5.5-25 of

the Unified Code of Corrections.

b) Qualifications of Faculty and Staff (Section 35 of the Act)

1) The education, experience and other qualifications of faculty, staff and

instructors shall reasonably ensure that the students will receive education

consistent with the objectives of the program of study.


18



2) The faculty, staff and instructors of the school shall be of good


3) Schools are required to submit faculty credentials required for teaching a

program of study as part of the submission for institution’s institution's

approval. Faculty do not have to be approved by the Board prior to the

start of the instructional period. Individual faculty hires and their

appropriate qualification will be submitted by the institution during

designated reporting periods and need not be submitted prior to teaching

the course. Failure to hire faculty according to the credentials outlined by

the institution may be grounds for revocation of the permit of approval.

c) Demonstration of Student Learning and Quality of Program Delivery (Section 35

of the Act)

1) Schools must show the capacity to develop, deliver and support academic

programs. Procedures and policies that will assure the effective design,

conduct and evaluation of the certificate program under the academic

control of the school must be developed. Assessment plans must

demonstrate that the school has identified clear and appropriate program

and student learning goals and must have defined appropriate outcomes.

Appropriate data must be collected and may be requested by the Board to

show the level of student learning that has occurred as a result of

participation in the school's programs of study.

2) Adequate records shall be maintained by the school to show attendance,

progress or grades, and consistent standards should be enforced relating to

attendance, progress and performance.

3) Upon satisfactory completion of the program of study, the student shall be

given the appropriate certificate by the institution, indicating that a

specifically approved course of instruction or study has been satisfactorily

completed by the student.

d) Sufficiency of Institutional Finances (Section 35 of the Act)

The school should be financially stable and capable of assuring the revenues


18



needed for meeting stated objectives and fulfilling commitments to students.

e) Accuracy, Clarity, and Appropriateness of Program Descriptions

Institutional promotional, advertising, and recruiting materials must be clear,

appropriate, and accurate. (Section 35 of the Act)

1) Prior to the issuance of a permit of approval by the Board, no person or

organization shall advertise a school or any program of study or solicit

prospective students unless the person or organization has applied for and

received from the Board authorization to conduct that activity. If the

Board has authorized the activity, all advertisements or solicitations must

reference the Board's approval by stating that the school is approved by

the "Division of Private Business and Vocational Schools of the Illinois

Board of Higher Education". (Section 65 of the Act)

2) Schools are required to submit information about the recruiting process

and the information provided to students as a part of the submission for

the school's approval. Individual recruiters do not have to be approved by

the Board prior to the start of the employment period. Individual recruiters

hired and their appropriate qualifications will be submitted by the

institution during designated reporting periods and need not be submitted

prior starting employment. The actions of the recruiters are the

responsibility of the institution. Failure to adhere to the information about

the recruiting process and the information provided to students outlined by

the institution in the application process may be grounds for revocation of

the permit of approval.

3) The Board, at any time, may require that a school furnish proof to the

Board of any of its advertising claims. If proof acceptable to the Board

cannot be furnished, a retraction of the advertising claims, published in the

same manner as the claims themselves, must be published by the

institution and continuation of that advertising shall constitute cause for

revocation of the institution's permit of approval.

4) For schools requiring approval, the objectives for the school and its

programs of study must be consistent with what the school name and

program titles imply.


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A) The term "university" shall only be used in the name of an

institution of higher education when the institutional structure

includes two or more distinct colleges (e.g., College of Business,

College of Education, and College of Liberal Arts and Sciences)

providing instruction at the baccalaureate and graduate levels, and

is involved in public service activities, scholarship and research.

B) The term "college" shall only be used to refer to a school providing

instruction at the postsecondary level.

C) Program names shall adhere to the Classification of Instructional

Programs (CIP) developed by the National Center for Educational

Statistics.

f) Sufficiency of Facilities and Equipment

At a minimum, these must be appropriate and must meet applicable safety code

requirements and ordinances. (Section 35 of the Act)

1) The school shall have adequate and suitable space, equipment and

instructional materials to provide education of suitable quality.

2) The school shall be maintained and operated in compliance with all

pertinent local, State and national ordinances and laws.

g) Fair and Equitable Refund Policies

At a minimum, these must be fair and equitable, must satisfy any related State or

federal rules, and must abide by the standards established in the Act and this Part.

(Section 35 of the Act)

1) The Board shall establish minimum standards for a fair and equitable

refund policy that must be applied by all institutions subject to the Act

(Section 60 of the Act).

2) The same refund policy must be applied to all students even if they are not

eligible for federal financial aid (Section 60 of the Act).


18



3) Schools that are accredited by an accrediting body recognized by the U.S.

Department of Education and approved to participate in offering Federal

Title IV student financial aid may apply the required federal refund policy

as long as the same policy is applied to all students even if they are not

eligible for federal financial aid (Section 60 of the Act).

h) Appropriate and Ethical Admissions and Recruitment Practices

At a minimum, recruiting practices must be ethical and abide by any State or

federal rules. (Section 35 of the Act)

1) Neither the school nor its agents shall engage in advertising, sales,

collection, credit or other practices of any type that are false, deceptive,

misleading or unfair.

2) Schools and agents shall not:

A) Use a photograph or other such illustration in public documents,

sales literature or otherwise in such a manner as to convey a false

impression as to size, importance or location of the institution or

equipment and facilities associated with the institution;

B) Make a deceptive statement concerning other institutional

activities in attempting to enroll students;

C) Quote a dollar amount, other than the average starting salary for all

school graduates employed during the most recent reporting period

as specified in Section 1095.240(d) pursuant to Section 37 of the

Act, in any advertisement as representative or indicative of the

earning potential of graduates;

D) State or represent that students will be guaranteed employment

while enrolled in the institution or that employment will be

guaranteed for students after graduation;

E) Misrepresent opportunities for employment upon completion of

any program of study;


18



F) State or represent that the programs and/or courses or exams are

transferable to another institution without current documentation

by an authorized official of the receiving institution.

i) Recognized Accreditation Status

Accreditation with an accrediting body approved by the U.S. Department of

Education may be counted as significant evidence of the institution's ability to

meet curricular approval criteria. (Section 35 of the Act)

1) Any school applying for a permit of approval in the State of Illinois must

specify its accreditation status.

2) The school must have the appropriate accreditation if the school offers a

program in which professional qualification in a field is necessary for a

graduate to obtain employment.

3) In the case of a program requiring accreditation pursuant to Section

1095.40(i)(2), an institution without accreditation from an accrediting

authority recognized by the U.S. Department of Education or the Council

for Higher Education Accreditation shall provide a clearly defined plan to

move from candidate to affiliate status. The plan should include the name

of the accrediting organization, the basic outline of the accreditation

process, and the projected time line for obtaining affiliate status within

five years after the date of Board approval, unless the Board waives the

original time line because it is found to be an unrealistic expectation.

j) Meeting Employment Requirements in the Field of Study (Section 35 of the Act)

1) The institution must clearly demonstrate how a student's completion of the

program of study satisfies employment requirements in the occupational

field. The information must be clearly and accurately provided to students.


2) If licensure, certification, or their equivalent is required of program

graduates to enter the field of employment, the institution must clearly

demonstrate that completion of the program will allow students to achieve

this status. (Section 35 of the Act)


18



k) Enrollment Agreements that Meet the Requirements Outlined in the Act and this

Part (Section 35 of the Act)

1) A copy of the enrollment agreement must be provided to the Board.

Enrollment agreements may be used by schools only if approved by the

Board. (Section 40 of the Act)

2) The Board shall develop a standard enrollment agreement for use by

schools approved or seeking approval under the Act and this Part.

Schools may create an enrollment agreement that meets the minimum

requirements of this Section and this Part, but it must be approved by the

Board prior to implementation. (Section 40 of the Act)

3) Enrollment agreements shall include, at a minimum, the following:

A) A clear description of costs, refund policies, program information

and all disclosures required by the Act (Section 40 of the Act);

B) The Board's Internet website, the address and phone number of the

Board for students to report complaints, and any additional

information the Board may require by rule (Section 40 of the Act);

C) An explanation of all criteria and requirements for retention,

progress towards certificate, and graduation of the student;

D) The institution's tuition, cancellation and refund policies; and

E) A statement of the purpose and amount of any fees assessed; and.

F) Information on warning, probation or any other type of conditional

status from an accreditor, licensure body, certifying entity, or

federal/State oversight agency.

4) If the school requires the student to sign an enrollment agreement or a

similar type of agreement with a different title, the document must be

distributed as follows:


18



A) The student must be given a copy of the enrollment agreement at

the time the student signs that agreement and at the time of the

agreement's acceptance, if those events occur at different times.


B) The school shall retain a signed copy of the fully executed

enrollment agreement as a part of the student's permanent record.


5) No school may enter into an enrollment agreement in which the student

waives the right to assert against the school or any assignee any claim or

defense he or she may have against the school arising under the

agreement. Any provisions in an enrollment agreement in which the

student agrees to such a waiver shall be rendered void. (Section 40 of the

Act)

6) No school may have an enrollment agreement that requires that a student

register for more than a single semester, quarter, term, or other such

period of enrollment as a condition of the enrollment nor shall any school

charge a student for multiple periods of enrollment prior to completion of

the single semester, quarter, term, or other such period of enrollment.


l) Clearly Communicated Tuition and Fee Charges (Section 35 of the Act)

1) Tuition and fees and any other expense charged by the school must be

appropriate to the expected income that will be earned by graduates.


2) No school may have a tuition policy that requires that a student register

for more than a single semester, quarter, term, or other such period of

enrollment as a condition of the enrollment nor shall any school charge a

student for multiple periods of enrollment prior to completion of the single

semester, quarter, term, or other such period of enrollment. (Section 35 of

the Act)


18



m) Legal Action Against the Institution, Its Parent Company, Its Owners, Its

Governing Board, or Its Board Members

Any such legal action must be provided to the Board and may be considered as a

reason for denial or revocation of the permit of approval. (Section 35 of the Act)

n) Investigations and/or adverse actions by federal or State regulatory agencies,

accrediting bodies, licensing boards, or certification entities against the

Institution, Its Parent Company, Its Owners, Its Governing Board, or Its Board

Members must be provided to the Board and may be considered as a reason for

denial or revocation of the permit of approval

on) The school shall provide a current catalog or brochure, either in print or

electronically, to each prospective student prior to enrollment. If a school

maintains a website, the current catalog must appear on the website. Upon

request, the school shall provide a catalog or brochure without gathering personal

information from an individual unless that information is volunteered. The

catalog or brochure shall contain the following:

1) Descriptions of the programs offered, program objectives, lengths of

program and institutional calendars with program start and end dates;

2) Schedule of tuition, fees and all other charges and expenses necessary for

completion of the course of study, and cancellation and refund policies;

3) Student success data as required pursuant to Section 37 of the Act and this

Part and any data to satisfy Board reporting requirements;

4) A statement of the institution's accreditation status with a U.S. Department

of Education recognized accrediting body. If no such accreditation exists,

the institution must prominently state this in its advertising and published

materials;

5) Statements regarding the transferability of a certificate to other institutions

of higher education and the importance of consulting with institutions to

which the student may seek to transfer;

6) Evidence of articulation arrangements with institutional counterparts,


18



when these arrangements exist; and

7) Other material facts concerning the institution and the program or course

of instruction as are likely to affect the decision of the student to enroll,

together with any other information specified by the Board and defined in

this Part; and.

8) Information on warning, probation or any other type of conditional status

from an accreditor, licensure body, certifying entity or federal/State

oversight agency.


Section 1095.50 Procedures for Obtaining a Permit of Approval

Each application required to be filed in accordance with the provisions of the Act and this Part

must be accompanied by the required fee under the provisions of the Act and this Part, and all

such applications must be made on forms prepared and furnished by the Board. (Section 20 of

the Act)

a) The school representatives shall complete the application supplied by the Board.

The application requests information and supporting evidence to demonstrate that

the school meets the criteria established.

b) If an applicant school has not remedied all deficiencies cited by the Board within

12 months after the date of its original application for a certificate of approval,

an additional original application fee for the continued cost of investigation of its

application is added. (Section 75(6) of the Act)

c) Following the receipt of the formal application, accompanying documentation,

and applicable fee, staff will review and analyze all materials.

d) If a completed original application is rejected, the Board shall:

1) Issue a written response specifying the reason for the rejection; or


18



2) Issue a permit of approval only after the reasons for rejecting the

application have been removed.

e) If a school is in disagreement with the Board's findings regarding its original

application, it may, within 3060 business days after receipt of the application

deficiency report, petition the Board in writing for a reexamination of the

application. The petition shall include the reasons for disagreement with the

findings, and documentation and exhibits supporting the school's contentions of

approvability. If, based on the petition and reexamination of the application, the

Board finds and issues a report stating that the school still has not fulfilled all

requirements for approval, the school may make a written request within 30

business days after receipt of this report for an informal hearing to show why it

believes it has satisfied all application requirements. The request will be granted

within 6030 business days after receipt of that request. If, as a result of the

presentation by the applicant, the Executive Director determines that application

deficiencies cannot be resolved, the Executive Director shall call for a hearing as

provided in Section 85 of the Act, to refuse to issue a permit of approval; or if it

appears that the school can resolve application deficiencies within the time

limitations of subsection (b), the Executive Director shall allow the applicant to

continue efforts to remove application deficiencies, subject to subsection (b) of

this Section.


Section 1095.80 Procedures for Obtaining Approval to Offer One or More New

Certificates

The Board shall approve all new programs of study in institutions described in Section

1095.20(a) that are not otherwise exempted in Section 1095.20(d). Following is a description of

the steps in the approval process:

a) New Program Request

1) The school requesting permission to offer a new program or re-establish a

program not offered in the last approval year will complete an application

provided by the Board.


18



2) Information to be provided by the school shall include:

A) Program titles and descriptions;

B) Program objectives;

C) Curriculum;

D) Relationship of new programs to existing programs;

E) Faculty;

F) Recommendation of internal governance bodies;

G) Facilities;

H) Finances; and

I) Program publicity information.

b) Staff Analysis

Following receipt of the application, staff will review and analyze the application

and documentation submitted.

c) Additional Documentation and Site Visit

In the case of a proposed new program for which staff determines it is necessary

to verify or supplement the information supplied in the application, the staff may

request additional written documentation and/or arrange for a site visit.

d) Outside Consultants

The Executive Director of the Board, at his or her discretion, may utilize the

services of outside consultants to assist the staff in a site visit and in the

evaluation of the documentation submitted.

e) Staff Report

Following the analysis, staff will summarize its findings and develop a

recommendation regarding the new program request. This recommendation will


18



be shared with the applicant. This recommendation will be one of the following:

1) That the program be approved to admit students, with the appropriate

certificates being awarded upon program completion; or

2) That the approval requested not be granted.

f) New Application

Any school denied approval to award a new certificate must file a new application

in order to be given subsequent consideration for approval.

g) Advertising of Programs

1) Advertisements or solicitations must reference the Board's approval by

stating that the school is approved by the "Division of Private Business

and Vocational Schools of the Illinois Board of Higher Education"

(Section 65 of the Act).

2) A school may state that it is approved to award a certificate in the State of

Illinois only after that approval has been officially granted and received in

writing from the Board.

3) A school shall not advertise or state in any manner that it is "accredited"

by the Board to award certificates.

4) No school shall publish or otherwise communicate to prospective students,

faculty, staff or the public misleading or erroneous information about the

certificate-granting status of a given school.


Section 1095.100 Classroom Extension

A school must have approval prior to operating at a location and must make application to the

Board for a classroom extension at a new or changed location. (Section 20 of the Act)


18



a) A school shall be permitted to provide instructional services at locations other

than its principal location only upon filing a separate application for approval of

each classroom extension and payment of the application fee specified in this

Part. There shall be no instruction conducted at any extension site without the

Board's written approval of the site. If instruction has been conducted at the

extension site during the previous approval year, the school shall make

application for continued approval of the site with its annual renewal application.

b) The approval year for extensions shall coincide with that of the original

application or any renewal applications.

c) Included in the original application for each extension shall be the following:

1) The address and telephone number of the extension site;

2) The name, business address and telephone number of the site

administrators during hours of instruction;

3) Inventories of instructional equipment;

4) Facility plans showing space is available for the school to deliver

programs in accordance with Sections 1095.40 and 1095.60;

5) Certificate of liability insurance coverage for the site or a rider to the

certificate indicating site coverage;

6) Documentation verifying that the site meets local health and safety

requirements (e.g., fire marshal reports, occupancy certificates, public

health certificates);

7) Descriptions of the specific courses of instruction to be offered;

8) Projected enrollment figures;

9) Description of the plans and procedures for ensuring supervision during

the hours that instruction is being given and students are present;


18



10) A list of all faculty and the subjects they are assigned to teach;

11) Verification of qualification of faculty and administrators pursuant to

requirements in Sections 1095.40 and 1095.60;

12) Indication of surety bond coverage for the site (i.e., the surety bond

indicating coverage of the site in the amount required in Section

1095.210);

13) A copy of the new or revised catalog or a copy of the supplement to the

catalog that gives information on the extension site; and

14) Copies of advertising materials to be used for the extension site.

d) A school shall have written policies and procedures for the administration and

control of its extensions that describe provisions for continuous:

1) Supervision and control of activities at the site during its hours of

operation; and

2) Evaluation of instructional activities at the site.

e) If an administrator appointed under this Part is not at the site when students are

present and instruction is being given, the policies and procedures shall provide

for an administrator to be immediately on call to answer student and faculty

questions and give direction for any contingencies that may occur. The school

shall furnish students and faculty with the name, address and telephone number of

the extension administrator.

f) The Board will deny or revoke approval of an extension if it is found that the

extension's instructional program is not comparable to that provided at the

principal location or other extension sites, or a school has not provided instruction

at the extension site during the previous year, unless the school presents the Board

with plans for correction of the problem.

g) A school shall notify the Board at least 305 business days prior to closure of any

extension during any approval year.


18




Section 1095.120 School Application and Renewal Fees

Each school and each of the non-degree programs of study offered by the school shall be

approved for 5 years, subject to the terms and conditions of approval, including without

limitation the submission of required reporting and the payment of required charges and fees

under the provisions of Section 75 of the Act and this Part, and compliance with any other

requirements in the Act and this Part. (Section 50 of the Act)

a) Fees

Section 75 of the Act authorizes the Board to set fees. Fees are assessed in

connection with school applications for the permit of approval, annual renewal of

permit of approval, change of ownership, new program of study, change of

location, and classroom extension.

1) Application Fees

The fees are based on the institution size as outlined in subsection (a)(2).

A) Permit of approval. This is the initial fee for the application for

approval. Schools shall re-apply for the permit every 5 years. (See

Sections 1095.20 and 1095.40.)

i) A fee will be accessed when an institution applies for a

letter of exemption from the Board and re-certifies the

exemption annually. (See Section 1095.20.)

ii) There will be a late fee assessed for Fifth Year Permit of

Approval applications submitted up to 30 days after the due

date. Fifth Year Permit of Approval applications over 30

days late will not be accepted.

B) Annual renewal. This fee is paid in each of the 4 years following

the issuance of a permit of approval. (See Section 1095.200.)


18



There will be a late fee assessed for Annual Renewal applications

submitted up to 30 days after the due date. Annual Renewal

applications over 30 days late will not be accepted.

C) New program of study. This fee is submitted with the application

when an approved school requests approval of a new or additional

non-degree program of study. (See Sections 1095.60, 1095.70 and

1095.80.)

i) A fee will be assessed for changes made to an approved

program.

ii) If a school is found to have offered a program of study

prior to Board approval, a penalty fee will be assessed.

D) Change of ownership. This is the fee to submit with an application

for a permit of approval whenever there is a change of ownership

of an approved school. (See Section 1095.110.)

E) Change of location. This is the fee to submit with the application

for a change of location prior to moving the approved school's

principal location. (See Section 1095.90.) If a school is found to

have relocated prior to Board approval, a penalty fee will be

assessed.

F) Classroom extension. This fee is submitted with the application to

expand the offering of instructional services at locations other than

its principal location. (See Section 1095.100.) If a school is found

to have opened an extension site prior to Board approval a penalty

fee will be assessed.

2) Schedule of Fees

Institution Size

< 100

Students

100-399

Students

400-700

Students

> 700

Students


18



Permit of Approval $ 1,000

880

$ 2,000

1,760

$ 4,000

3,520 $ 5,000

Exemption Fee 250 250 250 250

5th Year Permit of Approval 1,000 2,000 4,000 5,000

Late Fee 250 500 750 950

Annual Renewal 500

440

1,000

880

2,000

1,760

3,000

2,500

Late Fee 250 500 750 950

New Program of Study 350

280

650

560

1,300

1,120

1,750

1,590

Program change 150 150 150 150

Penalty Fee 500 750 1,000 1,250

Change of Ownership 1,000

880

2,000

1,760

4,000

3,520 5,000

Change of Location 250

130

450

260

775

520

1,000

740

Penalty Fee 500 750 1,000 1,250

Classroom Extension 350

260

650

520

1,250

1,040

1,750

1,480

Penalty Fee 500 750 1,000 1,250

b) Remittance

1) Fees shall be submitted as check, certified check, cashier's check or money

order payable to the Illinois Board of Higher Education.

2) The Board shall return fees if, after further investigation, the Board

determines that the institution's request does not require Board approval.

This does not apply to the application for a letter of exemption from the

Board. No refund shall be awarded for any application that requires Board

approval and has been reviewed by Board staff. Applications withdrawn

by the institution shall receive no refund.


18





Division of Private Business and Vocational Schools




c) Processing

1) Applications submitted to the Board with insufficient fees shall be

considered incomplete. The Board will notify the institution of the

amount due. No further action shall be taken by the Board until the full

amount due is submitted.

2) Applications submitted to the Board with incorrect fees shall be

considered incomplete. The incorrect fee amount will be returned to the

institution. No further action shall be taken by the Board until the full and

correct fee amount due is submitted.

3) If an applicant school has not remedied all deficiencies cited by the Board

within 12 months after the date of its original application for a permit of

approval, an additional original application fee for the continued cost of

investigation of its application will be charged to the school (Section 75

(6) of the Act).

4) The Board will not accept a new or additional application from an

institution that has been unwilling or unresponsive to prior requests for

information from the Board, unless the prior application is withdrawn by

the applicant.


SUBPART B: MAINTENANCE OF APPROVAL

Section 1095.210 Surety Bond


18



Each school shall provide evidence to the Board of a surety bond to protect the interests of the

students. The amount of the bond must be sufficient to provide for the repayment of full tuition to

all students enrolled at the institution in the event of closure of the institution. Evidence of the

continuation of the bond must be filed annually with the Board. (Section 55 of the Act)

a) A school shall supply the Board with a copy of a fully executed, continuous

surety bond written by a company authorized to do business in Illinois in an

amount sufficient to provide cumulative unearned prepaid tuition for the Illinois

students enrolled at any one time. The amount shall be no less than $10,000.

b) The school shall submit its projection of greatest amount of unearned prepaid

tuition with its initial application for a certificate and the actual amount, based

upon the record of the previous fiscal year, with each succeeding application.

c) Should the Board determine, after applying the provisions of this Section, that the

school must increase the amount of bond coverage, the school shall file a bond

rider acknowledging increased coverage within 30 calendar days after receipt of

the Board's notice requiring the increase.

d) In the event of cancellation of the bond by a bonding company, the school shall

furnish a fully executed replacement bond to the Board within 30 calendar days

after the Board's receipt of the notice of cancellation.

e) The bonding company shall, on the Board's request, provide reasons for bond

termination within 30 calendar days after the Board's receipt of notice of the

termination.

f) Termination of the school's surety bond coverage without a replacement provided

to the Board prior to the cancellation date will result inshall be grounds for

revocation of the school'sits permit of approval.

g) When the school provides instruction at extensions, the surety bond or riders

attached to the bond shall indicate coverage for all Illinois students at all sites

where instruction is or will be given.



18



Section 1095.230 Lack of Compliance

A school shall permit the Board's Executive Director or his or her designees to inspect the

school or classes from time to time with or without notice and to make available to the Board's

Executive Director or his or her designees, at any time when required to do so, information,

including, financial information, pertaining to the activities of the school required for the

administration of the Act and this Part. (Section 55(8) of the Act)

a) The staff of the Board shall initiate an investigation upon receipt of a verified

written complaint and may initiate an investigation in response to oral or written

information concerning any of the following:

1) Alleged violation of any of the conditions governing issuance of the

permit of approval;

2) Alleged failure to comply with this Part;

3) Alleged fraudulent conduct on the part of any person operating the

institution or of any person, acting within the scope of his/her employment

by the institution, on account of which any student ever enrolled in the

institution has been injured or has suffered financial loss;

4) Loss, suspension, probation or similar adverse action taken by an

accrediting body with which the institution is or was affiliated;

5) Actions of federal or Statestate regulatory agencies or Offices of Attorneys

General, Offices of Inspectors General, or similar bodies that affect an

institution's status with those bodies.

b) Whenever an inspection or other information reveals lack of compliance with the

Act or this Part, the Board shall send the school a report of deficiencies. The

school shall have 10 business days to respond to the report of deficiencies and

report on actions that have been taken to correct these deficiencies.


Section 1095.240 Disclosures


18



All schools shall make, at a minimum, the disclosures required under Section 37 of the Act and

this Part clearly and conspicuously on their Internet websites. The disclosure shall consist of a

statement containing the following information for the most recent 12-month reporting period of

July 1 through June 30 (Section 37 of the Act):

a) For each program of study, report:

1) The number of students who were admitted in the program as of July 1 of

that reporting period.

2) The number of additional students who were admitted in the program

during the next 12 months and classified in one of the following

categories:

A) New starts;

B) Re-enrollments; and

C) Transfers into the program from other programs at the school.

3) The total number of students admitted in the program during the 12-month

reporting period (the number of students reported under subsection (a)(1)

plus the total number of students reported under subsection (a)(2)).

4) The number of students enrolled in the program during the 12-month

reporting period who:

A) Transferred out of the program and into another program at the

school;

B) Completed or graduated from a program;

C) Withdrew from the school;

D) Are still enrolled.


18



5) The number of students enrolled in the program who were:

A) Placed in their field of study;

B) Placed in a related field;

C) Placed out of the field;

D) Not available for placement due to personal reasons;

E) Not employed.

b) The number of students who took a State licensing examination or professional

certification examination, if any, during the reporting period, as well as the

number who passed. (Section 37 of the Act)

c) The number of graduates who obtained employment in the field who did not use

the school's placement assistance during the reporting period; such information

may be compiled by reasonable efforts of the school to contact graduates by

written correspondence. (Section 37 of the Act)

d) The average starting salary for all school graduates employed during the

reporting period; this information may be compiled by reasonable efforts of the

school to contact graduates by written correspondence. (Section 37 of the Act)

e) The following clear and conspicuous caption, set forth with the address and

telephone number of the Board's office: "COMPLAINTS AGAINST THIS

SCHOOL MAY BE REGISTERED WITH THE BOARD OF HIGHER

EDUCATION". (Section 37 of the Act) (See Section 1095.250.)

f) Information on warning, probation or any other type of conditional status from an

accreditor, licensure body, certifying entity or federal/State oversight agency.


Section 1095.250 Student Complaints


18



Schools approved by the Board must provide to the Board and each student the school's policy

for addressing student complaints. Included in this process, the school must provide in its

promotional materials and on its Internet website the Board's address and Internet website for

reporting complaints. (Section 55(2) of the Act)

a) Student complaints must be submitted in writing to the Board (Section 85(i)(1) of

the Act).1) The Board will provide forms that may be used to submit a compliant.

Information about the complaint may be submitted online through the IBHE

website (www.ibhe.org). Additional information regarding the complaint process

can be obtained by contacting the Board at: Signed forms should be sent to the

Board at:





Springfield, IL 62701-1404

Phone Number: (217) 782-2551

Fax Number: (217) 782-85482551

2) Verbal instructions on how to submit a student complaint are available by

calling the Board at (217) 782-2551.

b) Board staff shall contact the school about the complaint by registered mail or

other appropriate notification. The school has 10 business days to respond to the

Board about the complaint. The Board shall provide a resolution determination to

the school. The school may request a hearing about the proposed resolution

within 10 business days after the delivery of the complaint by registered mail or

other appropriate notification. If the school does not abide by the resolution

determination, then the Board can issue a cease and desist order to the school. If

the school does not comply with the cease and desist order, then the Board may

revoke the school's permit of approval. (Section 85(i)(2) of the Act)

c) The complaint may be forwarded to the institution's accrediting body. (Section

85(i)(3) of the Act)


18



d) The Board shall annually issue a public report about the complaints received. At

a minimum, the report shall include the institution, the nature of the complaint,

and the current resolution status of the complaint. No individual student shall be

named in the report. (Section 85(i)(4) of the Act)


Section 1095.260 Cease and Desist Orders

The Board's Executive Director has the authority to order any school subject to the Act to cease

and desist operations if the school is found to have acted contrary to the standards set forth in

the Act and this Part. (Section 85 of the Act)

a) On receipt of a cease and desist order, the school shall immediately cease and

desist from all sales, advertising, marketing and enrollment activities. It shall

report to the Board in writing within 15 days on actions that will be taken to

correct the deficiencies cited. The report shall include the dates for completion of

corrective activities.

b) The Board shall notify the school in writing immediately when conditions relating

to issuance of the order have been rectified and the school is again eligible to

resume its normal sales, advertising, marketing and enrollment functions.

c) If deficiencies noted by the Board are not corrected within 30 days following the

Board'sschool's receipt of the report, the Board shall proceed to a hearing to show

why the school's permit of approval should not be placed on probation, suspended

or revoked.


Section 1095.270 School Closing and Student Transcripts

a) Notice Required

A school that is closing, either voluntarily or involuntarily, shall send to the Board

the following:

1) Notice of the closure immediately by certified mail;


18



2) The name, address and telephone number of the person who will be

responsible for closing arrangements;

3) The name, address and telephone number and the name of the course of

instruction for each student who has not completed his or her course of

instruction;

4) Information on the amount of class time left for each student, to complete

the course, with the amount of refund, if any, for which each student is

eligible;

5) Copies of the written notice being mailed to all enrolled students,

explaining the procedures they are to follow to secure refunds or to

continue their education; and

6) Its permit of approval, returned immediately by mail upon cessation of

instruction or termination of approved status.

b) Teach-Out Plan

When a postsecondary educational institution now or hereafter operating in this

State proposes to discontinue its operation, that institution shall cause to be

created a teach-out plan acceptable to the Board, which shall fulfill the school's

educational obligations to its students. Should the school fail to deliver or act on

the teach-out plan, the Board is in no way responsible for providing the teach-out.


1) A school shall have written plans designed to protect the contractual rights

of its students and graduates in the event the school closes or undergoes a

change of status (e.g., if the school changes location or if its permit of

approval is revoked), including the right to complete the course of

instruction in which the students or graduates enrolled.

2) If students are receiving instruction prior to the school's closing, the

school shall file a plan including the information described in subsection

(b)(2)(A) with the Board to ensure that the school's students will continue


18



to receive training of the same quality and content as that for which they

contracted, as indicated in subsection (b)(2)(B).

A) Arrangements for transferring students to a public or another

approved private school shall be filed with the Board prior to any

student transfer.

B) Prior to approving the school's arrangements for completing its

teaching obligations to students, the Board shall verify that

students transferring will receive the same kind of program and

instructional services as those for which they contracted.

c) Academic Records

In the event a school proposes to discontinue its operations, the chief

administrative officer of the school shall cause to be filed with the Board the

original or legible true copies of all such academic records of the institution as

may be specified by the Board. (Section 70 of the Act)

1) Academic records include applications for enrollment and supporting

documents, enrollment agreements, transcripts and attendance records.

2) These records shall include, at a minimum, the academic records of each

former student that is traditionally provided on an academic transcript,

such as, but not limited to, courses taken, terms, grades, and other such

information. (Section 70 of the Act)

32) In the event it appears to the Board that any such records of an institution

discontinuing its operations is in danger of being lost, hidden, destroyed,

or otherwise made unavailable to the Board, the Board may seize and take

possession of the records, on its own motion and without order of court.


43) The Board shall maintain or cause to be maintained a permanent file of

records coming into its possession. (Section 70 of the Act)

54) As an alternative to the deposit of records with the Board, the institution

may propose to the Board a plan for permanent retention of the records


18



that may include the transfer of records to a similar institution. The plan

must be put into effect only with the approval of the Board. (Section 70 of

the Act)

6) If the institution is in possession of any record or material, paper or

electronic, that is not an academic record but contains personal

information, a term that is defined by Section 5 of the Illinois Personal

Information Protection Act [815 ILCS 530], the institution must retain a

document or material destruction company to destroy those documents or

materials, if permitted by the Family Educational Rights and Privacy Act

(20 USC 1232g), in accordance with Section 40 of the Illinois Personal

Information Protection Act.

7) If, pursuant to the federal Family Educational Rights and Privacy Act, the

institution is required to retain any record or material that is not an

academic record but contains personal information, a term that is defined

by the Illinois Personal Information Protection Act, that institution must

retain those records or materials in accordance with Section 45 of that Act.

8) The institution must send to the Board, the Illinois Attorney General's

Office − Privacy Unit, and the Department of Education designee a

certification that it has complied with its obligations under the federal

Family Educational Rights and Privacy Act and the Illinois Personal

Information Protection Act with respect to both academic records and non-

academic records or materials that contain personal information. The

Board will provide the form for certification after the institution has

received a Permit of Approval.

9) If a State or federal law requires an institution to provide greater

protections to records or materials that contain personal information, and

the institution is in compliance with the provisions of that State or federal

law, the institution shall be deemed to be in compliance with Section 45 of

the Illinois Personal Information Protection Act.

10) A violation of the Illinois Personal Information Protection Act constitutes

an unlawful practice under the Illinois Consumer Fraud and Deceptive

Practices Act [815 ILCS 505].


18



d) Refund Requirements

1) The school shall refund all tuition, fees and other charges if the Board, in

any situation in which students are receiving instruction prior to a school's

closing, determines that:

A) The school has not fulfilled its contractual obligations; or

B) A student has reasonable objections to transfer resulting from the

closing.

2) The school and its designated surety bonding company are responsible for

the return to students of all prepaid, unearned tuition. As identified in

Section 55 of the Act, the surety bond must be a written agreement that

provides for monetary compensation in the event that the school fails to

fulfill its obligations. The surety bonding company shall guarantee the

return to the school's students and their parents, guardians, or sponsors of

all prepaid, unearned tuition in the event of school closure. Should the

school or its surety bonding company fail to deliver or act to fulfill the

obligation, the Board is in no way responsible for the repayment or any

related damages or claims. (Section 70 of the Act) (See Section 1095.210

for requirements of the surety bond.)

e) Transcript Requests

1) The Board is the custodian of records for student transcripts from closed

private business and vocational schools that have turned over their student

records to the Board.

2) The Board shall maintain a list of the private business and vocational

schools that have closed and will publish the list on the Board website

(www.ibhe.org).

3) A student who attended a Board-approved school that has since closed

shall use the transcript request form and procedure developed by the

Board along with the applicable fees.


18



4) The fee for a student transcript is $10 per copy and shall be submitted as

check, certified check, cashier's check or money order payable to the

Illinois Board of Higher Education.









18

SECRETARY OF STATE


1) Heading of the Part: Public Use of Capitol Complex and Springfield Facilities



2005.20 Amendment

2005.30 Amendment

2005.40 Amendment

2005.50 Amendment

2005.60 Amendment

4) Statutory Authority: Implementing and authorized by Section 5 of the Secretary of State

Act [15 ILCS 305/5].




8) A copy of the adopted rulemaking including any material incorporated is on file in the

Agency's principal office and is available for public inspection.

9) Notice of Proposed published in the Illinois Register: 41 Ill. Reg. 1; January 6, 2017


11) Differences between Proposal and Final Version: No substantive changes made between

proposal and adoption. All technical changes recommended by JCAR were made.






18

SECRETARY OF STATE


15) Summary and Purpose of Rulemaking: Adds definition of "Food Truck" and "Special

Events Division". Adds to and amends the list of items prohibited in the Capitol

Complex. Sets forth procedures for those who wish to erect a display during the

holidays. Sets forth limitations for the addition of Food Trucks at the Driver Services

Facility on Dirksen Parkway, Springfield.


Amy Williams

Legal Advisor

298 Howlett Building

Springfield IL 62756

217/785-3094

[email protected]

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


18

SECRETARY OF STATE


TITLE 71: PUBLIC BUILDINGS, FACILITIES AND REAL PROPERTY

CHAPTER IV: SECRETARY OF STATE

PART 2005

PUBLIC USE OF THE CAPITOL COMPLEX AND SPRINGFIELD FACILITIES

Section

2005.10 Applicability

2005.20 Definitions

2005.30 Business Hours and Public Access

2005.40 Prohibited Activities

2005.50 Demonstrations

2005.60 Use of Building for Non-Demonstration Activity or Fund Raising Events

2005.70 Distribution of Leaflets and Solicitation of Funds

2005.80 Secretary of State Police Department

2005.90 Severability

AUTHORITY: Implementing and authorized by Section 5 of the Secretary of State Act [15

ILCS 305/5].

SOURCE: Adopted at 14 Ill. Reg. 7282, effective May 1, 1990; emergency amendment at 21 Ill.

Reg. 6927, effective May 21, 1997, for a maximum of 150 days; emergency expired October 17,

1997; amended at 21 Ill. Reg. 14563, effective October 23, 1997; emergency amendment at 25

Ill. Reg. 15259, effective November 7, 2001, for a maximum of 150 days; emergency

amendment repealed by emergency rulemaking at 25 Ill. Reg. 15656, effective November 27,

2001; emergency amendment at 25 Ill. Reg. 15658, effective November 27, 2001, for a

maximum of 150 days; emergency expired April 25, 2002; amended at 26 Ill. Reg. 9948,

effective June 24, 2002; amended at 36 Ill. Reg. 7662, effective May 2, 2012; amended at 39 Ill.

Reg. 2710, effective February 5, 2015; amended at 42 Ill. Reg. 188, effective December 19,

2017.


"Building" means the Stratton Office Building, Visitors' Center, the Capitol

Building, the Howlett Building, and other buildings named in Section 2005.10 of

this Part, in Springfield, Illinois.


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SECRETARY OF STATE


"Capitol Complex" means all buildings, grounds, and parking lots herein

identified in this Part with boundaries being Washington Street, Third Street,

Cook Street, and Pasfield Street in the City of Springfield, based upon Section

3.08 of the Space Needs Act [25 ILCS 125/3.08].

"Commercial Activity" means an activity whose primary purpose is to obtain a

profit for the benefit of an individual, or business entity organized for profit and

shall not include the solicitation of donations by anyone during a demonstration,

or for charitable purposes, as defined by the Charitable Trusts Act [760 ILCS 55]

and Solicitation for Charity Act [225 ILCS 460].

"Demonstration" means demonstrating, picketing, marching, rallying, selling non-

commercial printed matter or materials, moving in procession, holding of vigils,

singing, chanting, or shouting in a loud voice of the type that could interfere with

the business conducted in the building, and all other forms of public

demonstrative activity that involve the communication or expression, orally or by

conduct, of views or grievances, engaged in by one or more persons, the conduct

of which has the effect, intent, or propensity to draw a crowd or onlookers within

100 feet of the buildings named in Section 2005.10, of this Part or on the Capitol

Complex grounds, or within the building or the Capitol. Demonstration shall also

mean demonstrating, parading, picketing, speechmaking, holding of vigils, sit-ins,

or other activities, conducted for the purpose of demonstrating approval or

disapproval of governmental policies or practices (or the lack thereof), expressing

a view on public issues, or bringing into public notice any issue or other matter.

However, nothing in this Part shall be construed to govern lobbyists or lobbying

as defined by the Lobbyist Registration Act [25 ILCS 170], nor shall a

demonstration mean the peaceful contact or discussion by one or more persons

with elected representatives during a legislative session, or with executive branch

officials, concerning their view on a public or personal issue.

"Director" means the Director or Acting Director of the Department of Physical

Services of the Office of the Secretary of State of Illinois.

"Food Truck" means a vehicle equipped to cook and sell food that has a valid,

local mobile food service permit.

"Government Photo Identification Card" shall mean an employee identification


18

SECRETARY OF STATE


card issued by any State, local or federal government or agency, or one issued by

the Secretary of State to lobbyists, vendors and their employees and employees of

State agencies that do not issue photo identification cards.

"Grounds" shall mean the grass areas, garden areas, and all parking areas in the

Capitol Complex.

"Interfere" or "Interferenceinterference" shall mean the type of conduct thatwhich

by its nature tends to hinder, disrupt, or obstruct the orderly function of the

official enterprises being carried on in the building or on the land of the building

or Capitol Complex.

"Special Events Division" means the division within the Secretary of State's

Department of Physical Services responsible for issuing permits for

demonstrations or public displays within and upon the Capital Complex.

"Structure" shall mean anything, built by any person or persons, of any material

or substancesubstantive, for purposes of display, residence, or as part of a

demonstration. This term shall not refer to anything built pursuant to a State

contract for construction, remodeling, or repair of any State property within the

Capitol Complex or the buildings defined in Section 2005.10 of this Part.


Section 2005.30 Business Hours and Public Access

a) The public business hours of the Capitol Complex Buildings are 8 a.m. to 5 p.m.,

unless otherwise posted, Monday through Friday, except holidays declared by the

Governor pursuant to Section 5-635 of the Civil Administrative Code of Illinois

[20 ILCS 5/5-635], and on weekends and holidays between 9 a.m. and 4 p.m. for

purposes of public Capitol Building tours only. When the General Assembly is in

session, and the start of a committee meeting or session is sooner or later than the

limits listed in this subsection, the public hours shall be one hour before the

earliest committee meeting or session of either house for the opening time, and

one hour after the adjournment of the last committee meeting or session of either

house for the closing time in the Capitol Building or in whatever building the

legislative function is held.


18

SECRETARY OF STATE


b) Entrance to any building during times other than stated in subsection (a) of this

Section is prohibited, except for the following persons who shall be admitted to

office areas assigned to them for their use in carrying out their official duties:

1) members of the General Assembly;

2) employees of the General Assembly;

3) employees of the executive departments whose offices are in the building;

4) representatives of news media who have offices in the Capitol Building;

5) any authorized maintenance, repairer, contractor or other service

employee, while performing duties thatwhich have been arranged for by

the Department of Physical Services; and

6) any person who is specifically requested to enter into any building or

office by an authorized individual listed in subsections (b)(1) to (4) of this

Section.

c) Proper identification of all persons, such as a press pass, government photo

identification card, a driver's license or other document thatwhich shows the

identity of the person, may be demanded by security personnel, and employees

may be required to sign in and out of a building after 5 p.m. and before 7 a.m.

Only one entrance shall be open after the public business hours. Factors to be

considered in which identification may be requested include, but are not limited

to: the security guard or investigator does not recognize the individual; the

behavior of the individual; and accessibility to office areas, work areas and

restricted access areas. All persons entering into the buildings of the Capitol

Complex may be required to wear their government photo identification card

outside their clothing at all times when it has been determined by the Director of

the Department of Police that security concerns warrant thatsuch display. All

visitors to the Capitol Complex who do not possess a government photo

identification card will be required to submit themselves to security screening

measures prior to entry. Lobbyists, vendors and their employees and employees

of State agencies that do not issue photo identification cards may be issued photo


18

SECRETARY OF STATE


identification cards by the Secretary of State Department of Police.

d) All persons and vehicles entering into the Capitol Complex and its buildings may

be subject to search, including, but not limited to, inspection of vehicles, trunks,

parcels and packages, metal detector screening, X-Ray scans and inspection of

bulky personal items brought into the Capitol Complex.

e) Firearms, firearm ammunition, knives with a blade exceeding 3 inches, razors or

other blade instruments, stun guns or tasers, explosive devices, flammable,

corrosive or explosive compounds, incendiary devices, irritants or noxious

compounds (i.e., tear gas or pepper spray), and toy or dummy weapons, all

contraband and any other items deemed to be inappropriate or that could be used

as a weapon shall be prohibited. The Director of the Department of Police may

permit exemptions to these prohibitions for law enforcement, military and

ceremonial personnel who are performing their official duties.

f) Emergency responders who are responding to a bonafide emergency situation

within the Capitol Complex are not subject to screening or searches.

g) Public access to any building or area of the grounds may be restricted, if it is

determined by the Director of the Department of Police that a situation has arisen

that threatens the security of persons and buildings within the Capitol Complex.


Section 2005.40 Prohibited Activities

a) No animals, except guide dogs to assist persons with disabilities, or dogs utilized

by police officers and firefighters in the performance of their official duties, shall

be permitted in the buildings in the Capitol Complex.

b) No person or organization shall camp, erect a tent, monument (except as

authorized by the Secretary of State to commemorate a deceased public official or

a historical event), structure, portable toilet, platform, sign, or similar device on

the grounds of or within the State Capitol, Visitors' Center, the State Library, the

Howlett Building, or the Stratton Building, except as provided in subsection (i).


18

SECRETARY OF STATE


c) No person or organization shall block, obstruct, or impede any doorway, stairway,

corridor, or elevator in the Capitol Complex.

d) No demonstrations are allowed above the first floor of the Capitol Building; this

includes singing, chanting or shouting in a loud voice of the type that could

interfere with the business conducted in the building.

e) No banners, posters, placards, signs or symbols may be carried above the first

floor of the Capitol Building. No sticks, poles, or laths may be used to carry any

sign or placard into the buildings. No chains or ropes may be carried into the

buildings, except by authorized workers and State employees, with the permission

of the Director or the Director of the Secretary of State Department of Police.

f) No person or group of persons shall use any electronic loudspeaker, bullhorn, or

other amplifying device within the Capitol Complex buildings or grounds, unless

prior permission of the Director or the Director of the Secretary of State

Department of Police is obtained pursuant to Section 2005.50(d). Permission will

be granted for demonstrationsdemonstration only.

g) No banners, posters, placards, signs, or symbols may be affixed in any way by

any person to the railing of the second, third or fourth floor of the State Capitol

Building. No banners, posters, placards, signs or symbols for demonstration

purposes may be affixed in any way to the walls, railings, floors, or ceilings of

any of the buildings in the Capitol Complex.

h) No banners, posters, placards, signs or symbols may be displayed for more than

two weeks within a six month period.

i) No displays or structures (including tents) in the buildings or on the grounds may

be erected without the permission of the Director or the Director of the Secretary

of State Department of Police pursuant to Section 2005.50(d). Permission shall

be granted only if the display structure is part of symbolic expression in the

exercise of free speech guaranteed by the First Amendment to the United States

Constitution and Article I, Sections 4 and 5 of the 1970 Illinois Constitution. No

more than 2 tents or small structures may be erected at the location designated by

the Director. The or the Director of the Secretary of State Department of Police,

which location shallwill not impede pedestrian or vehicular traffic or substantially


18

SECRETARY OF STATE


damage the Capitol grounds, i.e., damage to grass or grounds thatwhich would

require replacement. The only locations thatwhich are authorized for structures

and displays shall be the paved areas between the Howlett Building and the

Capitol Building, in the north front of the Howlett Building and between the

Stratton Building and the Archives Building. No structures or displays will be

placed on grass areas thatwhich have an underground watering system on them.

j) The display of commercial signs, placards, or other forms of advertisement, or the

sale, display, or vending of commercial products or articles in the buildings or on

the grounds is prohibited, except pursuant to contract with the State Government.

k) The noise level from demonstrators, picketers, and protesters of any group or

groups, or as individuals, within the Capitol Building rotunda shall not exceed a

decibel level of 75dB(A). If the noise level from these persons exceeds this limit,

the Director or the Director of the Secretary of State Department of Police, or his

or her designee, shall direct all persons to decrease the noise, or to reduce the

numbers of people, within the Capitol Building to lower the noise level to the

specified level, which shall not exceed 75dB(A).

l) No person or organization shall damage, destroy, remove, deface, defile, tarnish,

or injure in any way State property within the buildings or on the grounds thereof.

All persons and organizations engaging in this type of prohibited activity will be

responsible for all costs, expenses, damages, and liability resulting from their own

actions or the actions of persons or organizations controlled or directed by them at

the time of the damage to Statestate property.

m) No smoking, vaping, or use of electronic cigarettes is permitted in any building or

structure in the Capitol Complex.

n) No skateboard riding, rollerblading, recreational scooter-riding, or skating is

allowed onin the Capitol Complex. The riding of bicycles is permitted only in

parking lots of the Capitol Complex and not on any Capitol Complex sidewalks or

pathways.


Section 2005.50 Demonstrations


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SECRETARY OF STATE


a) The holding or conducting of any demonstration, public meeting, gathering, or

parade on or in the buildings or their grounds is prohibited unless a permit for

thatsuch activity is issued by the Director or the Director of the Secretary of State

Department of Police. A Special Events form addressed to the Department of

Physical Services, Special Events Division, 034 Howlett Building, Springfield

Illinois 62756, phone 217-782-8495, must be submitted at least 48 hours in

advance of the event to be scheduled, unless the requestor can show by the

preponderance of the evidence, that the cause or reason for the requested

demonstration, meeting, gathering or parade was not known, contemplated or,

reasonably foreseeable, resulted from changed circumstances, or was not in

existence within those 48 hours, except that no such request shall take precedence

over an activity thatwhich was previously scheduled by the Director or the

Director of the Secretary of State Department of Police.

b) The Special Events form shall state the name of the individual, organization,

corporation, association, society, fraternity, sorority, club, or other group seeking

to use the building or the grounds. The request shall list the event contact person,

telephone numbers and address. Additionally, the particular facility desired to be

used, the dates and times sought, equipment to be used, or supplied, and the

estimated number of the participants shall be provided by the applicant. The

permit shall only be valid for the date and time approved by the Director or the

Director of the Secretary of State Department of Police and does not allow the

group to demonstrate at any date or time other than what has been approved.

c) Any group seeking a permit under this Section shall have a minimum of one usher

marshal per 25 participants. Ushers shallMarshals will be identified by insignia

and their identities disclosed to security and/or police officials prior to the

demonstration. The usher'smarshals' duties shall include making certain, to the

best of his/her ability under the circumstances, that the conditions of the permit

are met, that compliance with the rules occurs, that the demonstration remains

peaceful and orderly and that the participants remain within the physical

boundaries of the permit.

d) The Director or the Director of the Secretary of State Department of Police will

issue a permit to an applicant unless he or she finds that the intended activity will:


18

SECRETARY OF STATE


1) Unreasonably interfere with the movement of vehicular traffic in the

parking lots of the Capital Complex, or persons within the buildings or on

the grounds;

2) Not occur in the area designated and will create or cause a health and/or

safety hazard and will impede substantially the performance of public

business to be conducted in the area;

3) Endanger the health and safety of the permit applicants or other persons;

4) Be a commercial activity; or

5) Conflict in date, time, and place with a previously scheduled activity of

another applicant or a government agency. All Special Events forms are

date and time stamped upon receipt and permits are issued on a first-come,

first-served basis.

e) Applicants may also be denied a permit if past demonstrations involving their

particular organization/individuals have resulted in removal, arrest, or other

substantial violation of this Part.

f) Applicants denied a permit may modify their request to meet the objection and

concerns of the Director or the Director of the Secretary of State Department of

Police and may resubmit their application for consideration.

g) A Special Events form addressed to the Department of Physical Services, Special

Events Division shall be considered an application. A written response from the

Director or the Director of the Secretary of State Department of Police approving

part or all of the application shall be considered the permit. The written response

shall state the reasons for denying, in whole or in part, the request. The Director

or the Director of the Secretary of State Department of Police is required to show

by the preponderance of the evidence that an unreasonable interference will occur

or is occurring when he or she denies the request in whole or in part.

h) A person or organization denied a permit in whole or in part, may appeal the

denial to the Secretary of State. The appeal shall be in writing, stating the specific

reasons why the decision of the Director or the Director of the Secretary of State


18

SECRETARY OF STATE


Department of Police was incorrect and what relief is sought. The appeal must be

submitted at least 24 hours prior to the time of the requested demonstration, to

allow the Secretary of State time within which to consider and decide the appeal.

The Secretary of State'sSecretary's decision shall be in writing, and shall be made

at least 2 hours prior to the requested demonstration's time of starting. The

Secretary of State'sSecretary's decision shall be final for the purposes of the

Administrative Review LawAct [735 ILCS 5/Art. III].

i) Permitted demonstrations may be canceled without prior notice by the Director of

the Secretary of State Department of Police, if security concerns warrant such an

action.

j) Groups may be subject to time changes or cancellation if it is determined that the

scheduled activity will unreasonably interfere with the legislative process.


Section 2005.60 Use of Building for Non-Demonstration Activity or Fund Raising Events

a) Not-for-profit organizations that apply to sell baked goods or other items with a

price not to exceed $50.00 in the buildings specified in Section 2005.10 of this

Part shall submit a Special Events form to the Department of Physical Services,

Special Events Division at least 48 hours in advance of the desired start of their

sale. The application shall state the name of the organization, the date requested

for the sale or activity, the location requested, and any alternative dates and

locations.

1) Only one activity at a time will be approved by the Director for each

location.

2) The only locations allowed for thesuch sales are the northwest lobby of the

Howlett Building, the area on the south side of the Stratton Building

Cafeteria, and the designated first floor hallway area at the Department of

Driver Services Building at 2701 South Dirksen Parkway.

3) Sales may occur during the public business hours.


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SECRETARY OF STATE


4) The Director will only approve applications to sell submitted by not-for-

profit organizations, who must submit a copy of the organization's tax

exempt number form. No organization without a tax exempt number will

be allowed to sell in the areas designated.

b) No commercial activity, including but not limited to selling real estate,

automobiles or insurance, is allowed in the buildings specified in Section 2005.10

of this Part.

c) No alcohol or alcoholic beverages are allowed to be sold, consumed, delivered, or

used in the buildings specified in Section 2005.10 of this Part, except as permitted

by Section 6-15 of the Liquor Control Act of 1934 [235 ILCS 5/6-15].

d) All organizations that are permitted to use the Capitol Complex or the buildings

or the buildings specified in Section 2005.10 of this Part shall indemnify the State

and the Secretary of State from any injury or damage caused by their members' or

participants' negligence or willful misconduct. The members who cause the

damage or injury are primarily responsible. TheSuch organization shall also

restore the used areas to their pre-use appearance and condition, less reasonable

wear and tear, and the Director shall be the final decision-maker on the clean-up

of the used area. This subsection applies to those organizations listed in

subsection (a) of this Section and any other organization receiving permission

from the Director to use the specified buildings for meetings or parties.

e) All Special Events forms requesting use of the buildings specified in Section

2005.10 of this Part or the Capitol Complex shallwill be submitted to the

Department of Physical Services, Special Events Division at least 48 hours in

advance of the proposed starting time of the activity.

f) Nothing in this Section shall give the Director authority over the use of the

Chambers, meeting rooms, or committee rooms of the General Assembly. The use

of each room shall be decided according to legislative rules.

g) Decorations cannot be applied by tape, glue or any type of adhesive material to

any part of the building, unless special arrangements have been made and

approved by the Special Events Coordinator. No candles, confetti or balloons are

allowed. No smoke/fog machines are permitted. Any other special effects


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SECRETARY OF STATE


equipment must have prior approval of the Special Events Division.

h) No on-site cooking or warming of food with flames or burners, such as grilling or

the use of Sterno or other canned heat, is permitted in the Capital Complex or on

the grounds.

i) Permitted uses of the Capitol Complex may be canceled without prior notice by

the Director of the Department of Police, if security concerns warrant thatsuch an

action.

j) Any entity that contacts the Special Events Division to erect a display in the

Capitol Rotunda between Thanksgiving and New Year's Day shall be granted on a

first come, first served basis with a total limit of 5 displays permitted at a time. A

request for a display in any calendar year may be made any time on or after

January 2 of the same calendar year. The displays, if applicable, must meet the

following requirements:

1) any lights used in the displays must be LED lights;

2) decorations must be unbreakable or sufficiently secured to avoid damage;

3) any required equipment to set up or operate the display shall be provided

by the entity;

4) be assembled by the entity seeking to place the display; and

5) assembly and disassembly of the display must be coordinated with the

Special Events Division for a business day.

k) No more than two food trucks per calendar day may provide food and

nonalcoholic beverages to individuals at the Department of Driver Services

Building at 2701 South Dirksen Parkway, provided that the owner or operator of

the food truck receives a permit from the Director of Physical Services to operate

on a particular day. All food preparation shall be contained within the food truck

and the food truck operator shall be responsible for removing all food waste and

trash associated with the food truck operations. All water and other utility

requirements shall be provided by the food truck operator. The designated food


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SECRETARY OF STATE


trucks may only be located in an area designated by the Director from 11 a.m.

through 2 p.m. on the permitted day. If the Director of Driver Services, Director

of Physical Services, or Director of the Department of Police, or their designees,

determine that a food truck is interfering with Secretary of State daily operations

or is causing a disturbance, the food truck may be asked to leave the premises for

the remainder of the day.



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SECRETARY OF STATE


1) Heading of the Part: Collection of Fees



1003.10 Amendment

1003.20 Amendment

1003.30 Amendment

4) Statutory Authority: Implementing Sections 2-124 and 3-824 and authorized by Sections

2-101 and 2-104 of the Illinois Vehicle Title & Registration Law [625 ILCS 5/2-124, 3-

824, 2-101 and 2-104].




8) A copy of the adopted rules including any material incorporated is on file in the Agency's

principal office and is available for public inspection.



11) Differences between Proposal and Final Version: Section 10 was added at the request of

JCAR to change all references of "Act" to "IVC".



13) Will these rulemakings replace any emergency rule currently in effect? No



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SECRETARY OF STATE


15) Summary and Purpose of Rulemaking: Adds "electronic payments" to the rulemaking

and the procedure for dishonored payments. Renames "check writer" as "Payor"

considering the several forms of payments that are now made.


Amy Williams

Legal Advisor



217/785-3094

[email protected]



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SECRETARY OF STATE


TITLE 92: TRANSPORTATION

CHAPTER II: SECRETARY OF STATE

PART 1003

COLLECTION OF FEES

Section

1003.10 Definitions

1003.20 Collection and Refund

1003.30 Collection of All Motor Vehicle Fees

1003.40 Audits for Truck License Fees

1003.50 Use of State Comptroller's Offset Authority

1003.60 Bankruptcy Discharge of Fees

1003.70 Invalidity

AUTHORITY: Implementing Sections 2-124 and 3-824 and authorized by Sections 2-101 and

2-104 of the Illinois Vehicle Title & Registration Law [625 ILCS 5/2-124, 3-824, 2-101 and 2-

104].

SOURCE: Adopted at 12 Ill. Reg. 14719, effective September 15, 1988; amended at 13 Ill. Reg.

7048, effective May 1, 1989; amended at 29 Ill. Reg. 1966, effective January 20, 2005; amended

at 34 Ill. Reg. 10199, effective June 29, 2010; amended at 36 Ill. Reg. 17089, effective

November 20, 2012; amended at 42 Ill. Reg. 203, effective December 19, 2017.


"Department" means the Department of Accounting Revenue of the Office of the

Secretary of State.

"Director" means the Director or Acting Director of the Department.

"IVC""Act" means the Illinois Vehicle Code [625 ILCS 5](See Ill. Rev. Stat.

1987, ch. 95½, pars. 1-100 et seq.).

"Person" means the person indebted to the Secretary of State for any fee or tax

imposed by the IVCAct.


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SECRETARY OF STATE


"Registration" has the meaning given in Section 1-171 of the IVCAct.

"Secretary of State" or "Secretary" means the Illinois Secretary of State.


Section 1003.20 Collection and Refund

a) The refund of registrant fees paid to the Secretary of State shall occur if the

registration is cancelled, or a duplicate registration occurred or excess fees were

paid.

b) If cancelled registration meets any of the following criteria, a refund will be paid

by the Secretary of State if the registration plate or sticker was not used on the

vehicle and is returned to the Secretary. If the cancelled registration does not meet

these criteria, then a refund will be denied.

1) If the registrant is moving out of Illinois, a refund request or letter stating

that fact is required prior to refund actions being initiated.

2) If the registrant's vehicle was stolen and not recovered, a statement from

the applicant is required stating the date the vehicle was stolen.

3) If the registrant sells the vehicle and the unused registration is returned

after the display date, a statement concerning the last operation date of the

vehicle is required.

4) If the registered vehicle is damaged or inoperable, a statement concerning

the last operation date of the vehicle is required. This applies to requests

on refunds applied for after the display date.

5) If the registered vehicle will be stored and not operated for the entire

registration year, a statement is required, along with the return of the

sticker.

6) If the registrant has died, then the executor or administrator of the estate

must sign a statement and attach a copy of the death certificate, surrender


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SECRETARY OF STATE


the plates or the registration sticker, and comply with Section 3-824(c) of

the Illinois Vehicle Code [625 ILCS 5/3-824(c)].

c) If a registration is a duplicate, then to obtain a refund the duplicate sticker must be

returned, with the registration and a photocopy of the retained registration. A

written request for a refund must also be submitted.

d) If an excess fee is paid and a refund sought, the registrant must request the refund

in writing within 6 months after the date of payment.

e) Applicable to all requests for refund are the requirements that:

1) The vehicle the refund is requested upon must have been registered in a

prior registration year by the same owner.

2) For plates returned after the display date, the applicant must submit a

statement indicating the last operation date of the vehicle.

3) Proof of payment must be submitted (cash receipts, cash tickets, a

photocopy of the cancelled checks or electronic payment receipts, if the

Secretary of State records do not show payment was made).

4) After the registrant has applied for the registration plates or sticker, no

refund can be requested or paid until after the registrant receives the plates

or sticker.

5) Refunds will not be granted for replacement plates unless the applicant

specifically requests the same registration plate number. If the same

number is not requested, the refund will be withheld to cover the costs of

the transaction.

f) Refunds will not be granted for any title-related transaction, unless a title

application has not been processed by the Secretary of State.

g) All requests for refunds must be submitted in writing to the Department of

Accounting Revenue, Refund Division, Room 222, Howlett Building, Springfield,

Illinois 62756.


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SECRETARY OF STATE



Section 1003.30 Collection of All Motor Vehicle Fees

a) If a person has not paid the total fee due and owing, due to miscalculation or any

other reason, the Department of Accounting Revenue shall send two notices, each

30 calendar days apart, to the address shown on the records of the Secretary of

State, asking for the additional fees to be paid. The notices will be mailed by

regular mail. If no payment is made within 30 days following the date of the first

letter, then the registration or driver'sdrivers license record of the person shall be

tagged on the computer record with a notation that money is owed, and this action

will prevent the renewal of the driver'sdrivers license or registration without

payment of the additional fee. If no payment is made within 30 calendar days

after of the date of the second letter, then the driver'sdrivers license of the person

shall be cancelled pursuant to Section 6-201(3) of the IVCAct, unless:

1) except if the driver has demonstrated that the amount owed is not correct

and is in dispute;, or

2) the driver has demonstrated good faith attempts to make restitution of the

amount owed;, or

3) if the amount is $5.00 or less.

b) Dishonored Electronic Payment or Check Returned for Any ReasonChecks

returned because of insufficient funds.

1) If a personal check for any fee collectible by the Secretary of State

pursuant to the Act (Ill. Rev. Stat. 1987, ch. 95½) is returned because of

insufficient funds, the Secretary, through the Department of Accounting

Revenue, shall send the check to the check writer's bank again for

collection.

12) If the check is again returned for any reasonbecause of insufficient funds,

or other reasons, the Department of Accounting Revenue shall notify the

payorcheck writer by mail that:


18

SECRETARY OF STATE


A) payment is due within 10 calendar days afterof the date of the

notice;

B) if the Secretary does not receive payment, he or sheshall cancel the

payor'scheck writer's Illinois driver'sdrivers license and/or he shall

revoke and retrieve the registration plate, as the case may be;

C) the Attorney General may file a lawsuit;

D) the Comptroller shall deduct from any State funds due to the

payorcheck writer the amount of money due and owing to the

Secretary of State pursuant to Section 10.05 of the State

Comptroller Act [15 ILCS 405](Ill. Rev. Stat. 1987, ch. 15, par.

210.05);

E) the provisions of Section 3-821(c) of the IVCAct shall apply; and

F) the Secretary will apply the provisions of the Illinois State

Collection Act of 1986 [30 ILCS 210](Ill. Rev. Stat. 1987, ch. 15,

pars. 151 et seq.).

23) If the fee is not paid within 15 calendar days following the date of the

notice required by subsection (b)(2) of this Section, then the

driver'sdrivers license of the payorcheck writer and/or registrant will be

cancelled (see Section 6-201(a)(3) of the IVCAct) and the individual or

individuals will beindividual(s) notified by mail of the cancellation. After

this procedure is completed, a collection order is issued and the license

plates involved are tagged on the registration computer file so that no

renewal can be accomplished without payment of the fee.

34) A collector shall call upon the payorcheck writer to attempt to collect for

the returned check or dishonored electronic payment. The collector will

take any registration plates from a vehicle for which the fee has not been

paid. The collector will not accept partial payment, electronic payment

nor personal or business checkchecks. Payment must be in cash, money

order or certified check.


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SECRETARY OF STATE


45) Should any payorcheck writer contacted, pursuant to this Section,

acknowledge the debt and desire to pay on an installment basis, then an

installment agreement may be entered into with the Department of

Accounting Revenue, if approved by the Director of that Department, after

his or her examination of the personal financial data submitted by the

payorcheck writer demonstrates the payor'shis or her financial ability to

pay on an installment basis and his or her inability to pay the entire

amount owed immediately. The installment agreement shall contain the

following terms and conditions:

A) The amount owed must exceed $500.00.

B) The agreement shall not exceed 3 months in duration, with three

equal payments being made.

C) The payorcheck writer acknowledges the debt and all penalties and

interest.

D) The payorcheck writer waives any statute of limitations defense.

E) The payorcheck writer confesses judgment if the terms of the

agreement are not met.

F) The payorcheck writer agrees that the agreement will be cancelled

if the payment schedule is not met.

G) The driver'sdrivers license will be cancelled and/or the registration

plates revoked and surrendered if the agreement is not fulfilled by

the payorcheck writer.

c) If an electronic payment is dishonored by the payor's credit card or banking

institution, or the payor charges back the electronic payment, the Department of

Accounting Revenue shall notify the payor by mail that:

1) The Department of Accounting Revenue will send two notices, each 30

days apart, to the address shown on the records of the Secretary of State,


18

SECRETARY OF STATE


asking for the additional fees to be paid. The notices will be mailed by

regular mail.

2) If no payment is made within 30 days following the date of the first letter,

the registration or driver's license record of the person will be tagged on

the Secretary of State database with a notation that money is owed, and

this action will prevent the renewal of the driver's license or registration

without payment of the additional fees.

3) If no payment is made withing 30 calendar days after the second letter, the

driver's license of the person shall be cancelled pursuant to Section 6-

201(3) of the IVC, unless the driver has demonstrated that the amount

owed is not correct and is in dispute, or the amount is $5.00 or less.

dc) All accounts remaining uncollected after the procedures in this Section have been

applied shall be referred to the Attorney General of Illinois for collection and the

Comptroller of Illinois shall be notified to withhold any payments due by the

State to the payorcheck writer pursuant to the State Comptroller Act.

ed) All persons who have had paymentchecks returned for any reasonbecause of

insufficient funds must make all future fee payments by cash, certified check, or

money order (see Section 3-801 of the IVCAct).

fe) The procedures of this Section shall be applied to corporations or other business

entities thatwhich fail to make payment or payments for any reason pay fees or

write checks which are returned because of insufficient funds in the corporation's

checking account.



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SECRETARY OF STATE


1) Heading of the Part: Certificates of Title, Registration of Vehicles



1010.150 Amendment

4) Statutory Authority: Implementing Chapter 3 and authorized by Section 2-104(b) of the

Illinois Vehicle Title & Registration Law of the Illinois Vehicle Code [625 ILCS 5/Ch. 3

and 2-104(b)].

5) Effective Date of Rule: December 19, 2017



8) A copy of the adopted rule including any material incorporated is on file in the Agency's

principal office and is available for public inspection.

9) Notice of Proposed published in the Illinois Register: 41 Ill. Reg. 25; January 6, 2017.








15) Summary and Purpose of Rulemaking: Adds "electronic payment" to the list of

acceptable payment options.


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SECRETARY OF STATE


16) Information and questions regarding this adopted rule shall be directed to:

Amy Williams

Legal Advisor



217/785-3094

[email protected]

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


18

SECRETARY OF STATE




PART 1010

CERTIFICATES OF TITLE, REGISTRATION OF VEHICLES

SUBPART A: DEFINITIONS

Section

1010.10 Owner – Application of Term

1010.20 Secretary and Department

SUBPART B: TITLES

Section

1010.110 Salvage Certificate – Additional Information Required to Accompany Application

for a Certificate of Title for a Rebuilt or a Restored Vehicle Upon Surrendering

Salvage Certificate

1010.120 Salvage Certificate – Assignments and Reassignments

1010.130 Exclusiveness of Lien on Certificate of Title

1010.140 Documents Required to Title and Register Imported Vehicles Not Manufactured

in Conformity with Federal Emission or Safety Standards

1010.150 Transferring Certificates of Title Upon the Owner's Death

1010.160 Repossession of Vehicles by Lienholders and Creditors

1010.170 Junking Notification

1010.180 Specially Constructed Vehicles – Defined

1010.185 Specially Constructed Vehicles – Required Documentation for Title and

Registration

1010.190 Issuance of Title and Registration Without Standard Ownership Documents −

Bond

1010.193 Procedures for Application for Title for Vehicles Purchased at Mechanic's Lien

Sales

1010.195 Procedures and Disclosures for Vehicles Previously Titled in Areas Flooded as a

Result of a Natural Disaster

SUBPART C: REGISTRATION


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SECRETARY OF STATE


Section

1010.200 Homemade Trailers − Title and Registration

1010.210 Application for Registration

1010.220 Vehicles Subject to Registration – Exceptions

1010.230 Refusing Registration or Certificate of Title

1010.240 Registration Plates To Be Furnished by the Secretary of State

1010.245 Electronic Registration and Titling (ERT) Program Provisions

1010.250 Applications For Reassignment

SUBPART D: REVOCATION, SUSPENSION AND

CANCELLATION OF REGISTRATION

Section

1010.300 Operation of Vehicle after Cancellation, Suspension, or Revocation of any

Registration

1010.310 Improper Use of Evidences of Registration

1010.320 Suspension, Cancellation or Revocation of Illinois Registration Plates and Cards

and Titles

1010.330 Operation of Vehicle Without Proper Illinois Registration

1010.350 Suspension or Revocation

1010.360 Surrender of Plates, Decals or Cards

SUBPART E: SPECIAL PERMITS AND PLATES

Section

1010.410 Temporary Registration – Individual Transactions

1010.420 Temporary Permit Pending Registration In Illinois

1010.421 Issuance of Temporary Registration Permits by Persons or Entities Other Than the

Secretary of State

1010.425 Non-Resident Drive-Away Permits

1010.426 Seven Day Permits

1010.430 Registration Plates for Motor Vehicles Used for Transportation of Persons for

Compensation and Tow Trucks

1010.440 Title and Registration of Vehicles with Permanently Mounted Equipment

1010.450 Special Plates

1010.451 Purple Heart License Plates

1010.452 Special Event License Plates


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SECRETARY OF STATE


1010.453 Retired Armed Forces License Plates

1010.454 Gold Star License Plates

1010.455 Collectible License Plates

1010.456 Sample License Plates For Motion Picture and Television Studios

1010.457 Korean War Veteran License Plates

1010.458 Collegiate License Plates

1010.460 Special Plates for Members of the United States Armed Forces Reserves

1010.465 Requests for General Issuance Specialty License Plates

1010.470 Dealer Plate Records

1010.480 State of Illinois In-Transit Plates

SUBPART F: FEES

Section

1010.510 Determination of Registration Fees

1010.520 When Fees Returnable

1010.530 Circuit Breaker Registration Discount

1010.540 Fees

1010.550 Determining Age of Vehicle

SUBPART G: MISCELLANEOUS

Section

1010.610 Unlawful Acts, Fines and Penalties

1010.620 Change of Engine

SUBPART H: SECOND DIVISION VEHICLES

Section

1010.705 Reciprocity

1010.710 Vehicle Proration

1010.715 Proration Fees

1010.720 Vehicle Apportionment

1010.725 Trip Leasing

1010.730 Intrastate Movements, Foreign Vehicles

1010.735 Interline Movements

1010.740 Trip and Short-term Permits


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SECRETARY OF STATE


1010.745 Signal 30 Permit for Foreign Registration Vehicles (Repealed)

1010.750 Signal 30-Year-round for Prorated Fleets of Leased Vehicles (Repealed)

1010.755 Mileage Tax Plates

1010.756 Suspension or Revocation of Illinois Mileage Weight Tax Plates

1010.760 Transfer for "For-Hire" Loads

1010.765 Suspension or Revocation of Exemptions as to Foreign Registered Vehicles

1010.770 Required Documents for Trucks and Buses to detect "intrastate" movements

1010.775 Certificate of Safety

1010.APPENDIX A Uniform Vehicle Registration Proration and Reciprocity Agreement

1010.APPENDIX B International Registration Plan

1010.APPENDIX C Affirmation Supporting Salvage Certificate

1010.APPENDIX D Specialty License Plates Request Form

AUTHORITY: Authorized by Section 2-104(b) of, and implementing Chapters 3 and 5 of, the

Illinois Vehicle Code [625 ILCS 5].

SOURCE: Filed and effective December 15, 1970; emergency amendment at 2 Ill. Reg. 25, p.

119, effective June 14, 1978, for a maximum of 150 days; amended at 3 Ill. Reg. 12, p. 76,

effective March 23, 1979; amended at 3 Ill. Reg. 29, p. 123, effective July 20, 1979; amended at

4 Ill. Reg. 17, p. 247, effective April 11, 1980; emergency amendment at 4 Ill. Reg. 21, p. 99,

effective May 14, 1980, for a maximum of 150 days; amended at 6 Ill. Reg. 2241, effective

February 1, 1982; amended at 6 Ill. Reg. 11076, effective August 26, 1982; codified at 6 Ill. Reg.


effective January 21, 1983; amended at 8 Ill. Reg. 5329, effective April 6, 1984; amended at 9

Ill. Reg. 3358, effective March 1, 1985; amended at 9 Ill. Reg. 9176, effective May 30, 1985;

amended at 9 Ill. Reg. 12863, effective August 2, 1985; amended at 9 Ill. Reg. 14711, effective

September 13, 1985; amended at 10 Ill. Reg. 1243, effective January 6, 1986; amended at 10 Ill.

Reg. 4245, effective February 26, 1986; amended at 10 Ill. Reg. 14308, effective August 19,

1986; recodified at 11 Ill. Reg. 15920; amended at 12 Ill. Reg. 14711, effective September 15,

1988; amended at 12 Ill. Reg. 15193, effective September 15, 1988; amended at 13 Ill. Reg.

1598, effective February 1, 1989; amended at 13 Ill. Reg. 5173, effective April 1, 1989; amended

at 13 Ill. Reg. 7965, effective May 15, 1989; amended at 13 Ill. Reg. 15102, effective September

15, 1989; amended at 14 Ill. Reg. 4560, effective March 1, 1990; amended at 14 Ill. Reg. 6848,

effective April 18, 1990; amended at 14 Ill. Reg. 9492, effective June 1, 1990; amended at 14 Ill.

Reg. 19066, effective November 15, 1990; amended at 15 Ill. Reg. 12782, effective August 15,

1991; amended at 16 Ill. Reg. 12587, effective August 1, 1992; amended at 19 Ill. Reg. 11947,


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SECRETARY OF STATE


effective August 1, 1995; amended at 19 Ill. Reg. 16289, effective November 27, 1995; amended

at 20 Ill. Reg. 11349, effective August 1, 1996; amended at 21 Ill. Reg. 8408, effective June 23,


8521, effective April 28, 1998; amended at 22 Ill. Reg. 22059, effective January 1, 1999;

amended at 25 Ill. Reg. 7731, effective June 6, 2001; emergency amendment at 25 Ill. Reg.

14201, effective October 22, 2001, for a maximum of 150 days; emergency expired March 20,


4790, effective February 27, 2003; amended at 29 Ill. Reg. 8915, effective June 10, 2005;

amended at 31 Ill. Reg. 2668, effective January 29, 2007; amended at 32 Ill. Reg. 17253,

effective October 15, 2008; amended at 32 Ill. Reg. 17590, effective October 16, 2008; amended

at 34 Ill. Reg. 3673, effective March 5, 2010; amended at 34 Ill. Reg. 10202, effective June 29,


effective May 16, 2011; amended at 36 Ill. Reg. 7674, effective May 2, 2012; amended at 36 Ill.

Reg. 14745, effective September 24, 2012; amended at 36 Ill. Reg. 17094, effective November

20, 2012; emergency amendment at 36 Ill. Reg. 17580, effective November 28, 2012, for a

maximum of 150 days; amended at 37 Ill. Reg. 4340, effective March 22, 2013; amended at 37

Ill. Reg. 8941, effective June 14, 2013; amended at 37 Ill. Reg. 12578, effective July 17, 2013;


December 19, 2017.

SUBPART B: TITLES

Section 1010.150 Transferring Certificates of Title Upon the Owner's Death

a) This Sectionsection sets forth the required documentation to be submitted to the

Vehicle Services Department within the Office of the Secretary of State to

transfer decedents' certificates of title to vehicles. Upon the death of a vehicle

owner, the procedure for transferring the vehicle title depends on whether the title

was held individually by the decedent or held in joint tenancy. If the title was in

the decedent's name only, the procedure then depends on whether the decedent's

estate is being probated. If the title was held jointly by the decedent and another

person, the procedures in subsection (c) apply.

b) Original Title in Decedent's Name Only

One of the following three procedures shall be used to transfer the decedent's title

to an heir, legatee, or any third party.


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SECRETARY OF STATE


1) Probate

If the decedent's estate is probated, the Secretary of State requires the

following documents to transfer the decedent's certificate of title.

A) A certified copy of the letters of administration, letters

testamentary, or letters of guardianship naming the legal

representative of the decedent's estate.

B) The decedent's title must be surrendered, and it must be assigned

by the legal representative of the estate to the transferee.

C) An application for title must be completed and signed by the

transferee.

D) The applicant must submit the required $3 title fee, any applicable

registration fees, and proof of compliance with, or exemption from,

the Vehicle Use Tax (see 86 Ill. Adm. Code 151).

2) Small Estates Affidavit

A Small Estates Affidavit can be used to transfer the decedent's certificate

of title if the conditions of Section 25-1 of the Probate Act of 1975 [755

ILCS 5] (Ill. Rev. Stat. 1984 Supp., ch. 110½, par. 25-1, as amended by

P.A. 84-395, effective September 16, 1985), are satisfied, the estate was

not probated, and the following documents are submitted to the Secretary

of State.

A) A Small Estates Affidavit describing the vehicle by model year,

make, and vehicle identification number. If the vehicle owner dies

on or after September 16, 1985, a copy of the death certificate must

be attached.

B) A certified copy of the will if the vehicle owner died testate.

C) The decedent's title must be surrendered.

D) An application for title must be completed and signed by the

transferee.


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SECRETARY OF STATE


E) The applicant must submit the required $3 title fee, any applicable


the Vehicle Use Tax.

3) Attorney's Affidavit

The Attorney's Affidavit can be used to transfer the decedent's certificate

of title if the following documents are submitted.

A) Attorney's Affidavit on the attorney's letterhead stationery, stating:

i) The name and last address of the decedent.

ii) The model year, make, and vehicle identification number of

the vehicle.

iii) To whom the vehicle is being transferred and the

relationship between the transferee and the decedent, if any.

B) A copy of the death certificate.

C) The decedent's title must be surrendered.

D) An application for title must be completed and signed by the

transferee.

E) The applicant must submit the required $3 title fee, any applicable


the Vehicle Use Tax.

c) Original Title Held Jointly in Decedent's and Surviving Joint Tenant's Names

1) If the title applicant is the surviving joint tenant, the following documents

are required to correct the title.

A) A copy of the death certificate.


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SECRETARY OF STATE


B) The original title must be surrendered but need not be assigned.

C) An application for a corrected title to remove the decedent's name

from the original title.

D) If the applicant plans to operate the vehicle, the applicant must

submit an application to correct the registration. A current

registration thus shall be assigned to the surviving joint tenant.

E) The applicant must submit the required $3 title fee and, if

applicable, the $2 corrected registration fee.

2) If the surviving joint tenant chooses to transfer the vehicle to a third party,

the following documents are required to transfer title.

A) A copy of the death certificate.

B) The original title must be assigned by the surviving tenant to the

transferee.

C) An application for title must be completed and signed by the

transferee.

D) The applicant must submit the required $3 title fee and show proof

of compliance with, or exemption from, the Vehicle Use Tax.

E) If the transferee intends to operate the vehicle upon the public

highways, the transferee must pay the applicable registration fees.

The application for title will serve as an application for

registration.

d) Miscellaneous

1) If the original title is lost, an affidavit explaining that the title cannot be

located must be submitted by the transferor.

2) Surviving joint tenants and surviving spouses need not pay vehicle


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SECRETARY OF STATE


registration fees until the current registration expires. If the surviving

spouse is not listed as a joint tenant on the decedent's title, a copy of the

death certificate is required to show the marital relationship.

3) Title and registration fees may be combined in one check, electronic

payment or money order made payable to the Secretary of State.

Applicable title, registration, and transfer fees are set forth in IVC Chapter

3 [625 ILCS 5]of the Illinois Vehicle Code (Ill. Rev. Stat. 1983, ch. 95½,

pars. 3-100 et seq.).

4) Transferees who do not operate the vehicle upon the public highways need

not apply for registration at the time of acquisition. (See 92 Ill. Adm.

Code 1010.510.)

5) Proof of compliance with the Vehicle Use Tax shall consist of the Illinois

Department of Revenue formfor RUT 5043, or such other form used by

that agencyAgency.



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SECRETARY OF STATE


1) Heading of the Part: Remittance Agents



1019.5 Amendment

1019.10 Amendment

1019.30 Amendment

1019.35 Amendment

1019.40 Amendment

4) Statutory Authority: Implementing Section 3-900 et seq. and authorized by Section 2-

104(b) of the Illinois Vehicle Title and Registration Law of the Illinois Vehicle Code [Ill.

Rev. Stat. 1987, ch. 95½, pars. 3-900 et seq. and 2-104(b)].








11) Differences between Proposal and Final Version: Section 1019.5 was added to include

the definition of "Dealer".






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SECRETARY OF STATE


15) Summary and Purpose of Rulemaking: Adds "electronic payments" to the rulemaking

and the procedure for dishonored payments.


Amy Williams

Legal Advisor



217/785-3094

[email protected]



18

SECRETARY OF STATE




PART 1019

REMITTANCE AGENTS

Section

1019.5 Definitions

1019.10 Application for Remittance Agency License and Renewal

1019.20 Denial of Application for Remittance Agent's License

1019.30 Suspension and Revocation of Remittance Agents' Licenses

1019.35 Processing Transactions

1019.40 Recordkeeping Requirements

1019.45 Severability Clause

AUTHORITY: Implementing Chapter 3, Article IX,Section 3-900 et seq. and authorized by

Section 2-104(b), of the Illinois Vehicle Title and Registration Law of the Illinois Vehicle Code

[625 ILCS 5].(Ill. Rev. Stat. 1987, ch. 95½, pars. 3-900 et seq. and 2-104(b)).

SOURCE: Adopted at 13 Ill. Reg. 4944, effective April 1, 1989; amended at 14 Ill. Reg. 5813,

effective April 15, 1990; amended at 42 Ill. Reg. 223, effective December 19, 2017.


a) For purposes of this Part, the following definitions shall apply:

"Applicant" – person requesting that a title and/or registration be issued in

his/her name.

"Dealer" – every person engaged in the business of acquiring or disposing

of vehicles or their essential parts and who has an established place of

business for such purpose. [625 ILCS 5/1-115]

"Department" – Department of Vehicle Services within the Office of the

Secretary of State.

"Financially Sound" – solvent and able to pay expenses and debts as due,


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SECRETARY OF STATE


as evidenced by the surety bond obtained pursuant to Section 3-905 of the

Illinois Vehicle Title & Registration Law of the Illinois Vehicle Code (Ill.

Rev. Stat. 1987, ch. 95½, par. 3-905).

"Fraudulent Activity" – any activity in which a person knowingly falsifies

information.

"Good Business Integrity" – soundness or good moral principle and

character in business dealings as evidenced by the surety bond obtained

pursuant to Section 3-905 of the Illinois Vehicle Title & Registration Law

of the Illinois Vehicle Code (Ill. Rev. Stat. 1987, ch. 95½, par. 3-905), or

good moral principle and character in business dealings.

"Immediate Family" – spouse, offspring, sibling, or parent.

"Licensee" – a licensed remittance agent.

"Revocation" – the termination by formal action of a person's license to

operate as a remittance agent.

"Secretary" – Secretary of the State of Illinois.

"Suspension" – the temporary withdrawal by formal action by the

Secretary of a person's license to operate as a remittance agent for thirty

(30) days pending compliance and re-audit.

"Transaction" – an application for title and/or registration of a vehicle, any

supporting documents and fees for remittance to the Department.


Section 1019.10 Application for Remittance Agency License and Renewal

a) If a person wishes to become a remittance agent, he/she shall file an application

and bond pursuant to Sections 3-904 and 3-905 of the Illinois Vehicle Title &

Registration Law of the Illinois Vehicle Code [625 ILCS 5](Ill. Rev. Stat. 1987,

ch. 95½, pars. 3-904 and 3-905). The application shall be filed with the Office of


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SECRETARY OF STATE


the Secretary of State as set forth in subsection (fg) of this Section.

b) The notarized application shall contain the following information:

1) the previous year's license number if the person is currently licensed as a

remittance agent;

2) the name of the business;

3) the location of the business;

4) the applicant's home address, home telephone number and business

telephone number;

5) the applicant's business, occupation or profession;

6) the total amount of cash, checks, electronic payments or money orders

made payable to the remitter received for remittance to the State in the

highest 15 day period in the preceding year if the person is currently

licensed;

7) whether the applicant, a member of his/her immediate family, or any

employee of the applicant is an employee of the Secretary of State;

8) whether the applicant has ever been involved in civil or criminal litigation

and if so, the type of litigation, the date and suit or charge, the court in

which the matter was heard, the style or caption of the case, the

disposition of the matter, and if the judgment has been satisfied; and

9) a list of the employees.

c) A surety bond shall be posted for each location wherethat the applicant intends to

do business as a remittance agent. Each bond shall be for $10,000 or in the

amount of cash, checks, electronic payments or money orders made payable to the

remitter received for remittance to the Department during the highest 15 day

period in the year preceding the year for which the license is applied, whichever is

greater. The bond shall be issued by a bonding or insurance company authorized


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SECRETARY OF STATE


to do business in Illinois. The Department shall use a list issued by the

Department of Insurance to determine if the bonding or insurance company is

authorized to issue the bond.

d) The applicant shall also submit the statutory fee provided in IVC Section 3-905 of

the Illinois Vehicle Title & Registration Law of the Illinois Vehicle Code for

application. A license is issued for a period of one year terminating on December

31 each year.

e) A remittance agent wishing to renew his/her license shall submit the material

required by this Section to the Department between September 1 and December

31 of the year before the new license will become effective.

f) All remittance agent license applications and corresponding materials should be

submitted to:

Office of the Secretary of State

VehicleSpecial Services DepartmentDivision

HowlettCentennial Building, Room 069108

Springfield, Illinois 62756

g) The Department will make available the application form to any person who

requests one. Only the Department's form willshall be accepted to apply for a

license to operate as a remittance agent.


Section 1019.30 Suspension and Revocation of Remittance Agents' Licenses

a) Pursuant to Section 3-907 of the Illinois Vehicle Title and Registration Law of the

Illinois Vehicle Code (Ill. Rev. Stat. 1987, ch. 95½, par. 3-907), the Department

shall suspend a person's remittance agent's license under the following

circumstances:

1) he/she fails to keep records as provided in IVC Section 3-910 of the

Illinois Vehicle Title & Registration Law of the Illinois Vehicle Code (Ill.

Rev. Stat. 1987, ch. 95½, par. 3-910);


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SECRETARY OF STATE


2) he/she fails to furnish information requested by the Department or file a

bond as required by IVC Section 3-905 of the Illinois Vehicle Title &

Registration Law of the Illinois Vehicle Code (Ill. Rev. Stat. 1987, ch.

95½, par. 3-905); or

3) it is discovered that he/she or a member of his/her immediate family is an

employee of the Secretary of State.

b) The suspension shall remain in effect for thirty (30) days during which an audit

shall be conducted to determine compliance with IVC Section 3-900 et seq. of the

Illinois Vehicle Title & Registration Law of the Illinois Vehicle Code (Ill. Rev.

Stat. 1987, ch. 95½, par. 3-900 et seq.). If he/she has come into compliance,

his/her remittance agent's license shall be restored. If the remittance agent has not

come into compliance, he/she shall have his/her remittance agent privileges

revoked.

c) A person shall have his/her remittance agent's license revoked under the following

circumstances:

1) he/she attempts to do business or does business as a remittance agent

while his/her privileges are suspended or revoked;

2) he/she fails to remit to the Department or the Illinois Department of

Revenue the proper fees required by pursuant to IVC Section 3-906(4), of

the Illinois Vehicle Title & Registration Law of the Illinois Vehicle Code

(Ill. Rev. Stat. 1987, ch. 95½, par. 3-906(4) to the Department or the

Illinois Department of Revenue or the check submitted to the Department

or the Illinois Department of Revenue is returned by the bank because of

insufficient funds, or the payment submitted electronically is dishonored

for any reason, and if he/she fails to submit the proper fees within ten (10)

days after a written request by the Department;

3) he/she engages in a fraudulent activity or forgery while operating as a

remittance agent, as determined by the Department after the investigation;

4) he/she is guilty of violating any provision of IVC ChapterChapters 2, 3 or


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SECRETARY OF STATE


4 of the Illinois Vehicle Title & Registration Law of the Illinois Vehicle

Code (Ill. Rev. Stat. 1987, ch. 95½, pars. 2-101 et seq., 3-100 et seq., and

4-100 et seq.) or the Use Tax Act [35 ILCS 105](Ill. Rev. Stat. 1987, ch.

95½, par. 439.1 et seq.) or the Service Occupation Tax Act [35 ILCS

115](Ill. Rev. Stat. 1987, ch. 95½, par. 439.101 et seq.);

5) he/she has been suspended two (2) times or more in one year; or

6) he/she has been convicted of a felony.

d) The Department shall consider written complaints (i.e., family, friends, neighbors,

business associates, customers, other agencies, and auditors from the Department

of Accounting Revenue) in determining whether a remittance agent's license shall

be suspended or revoked. Upon receipt of a complaint, the Department of Police

within the Office of the Secretary of State shall investigate the matter to

determine if a basis exists under this Section for a suspension or revocation.

e) A revocation shall be for at least one year. The remittance agent shall be notified

by certified mail that his/her license to operate as a remittance agent is going to be

revoked. The notice shall contain the effective date of the revocation, the

violation thatwhich is the cause of the revocation, and how he/she can contest the

revocation. The remittance agent shall be given ten (10) days from the date of the

notice before the revocation will become effective. In order to be reinstated

following a revocation, the person shall request an administrative hearing as

provided in 92 Ill. Adm. Code Ch. II1001 et seq. The person's remittance agent

license shall not be restored until the Secretary is satisfied that he/she will comply

with the provisions of Article IX of Chapter 3 of the Illinois Vehicle Title &

Registration Law [625 ILCS 5/Ch. 3, Art. IX]of the Illinois Vehicle Code and is

of good business integrity.

f) If a person wishes to contest the suspension or revocation of his/her remittance

agent's license, he/she shall request an administrative hearing pursuant to IVC

Section 3-907 of the Illinois Vehicle Title & Registration Law of the Illinois

Vehicle Code (Ill. Rev. Stat. 1987, ch. 95½, par. 3-907) and 92 Ill. Adm. Code

1001.



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SECRETARY OF STATE


Section 1019.35 Processing Transactions

a) Applications for title and registration submitted to the Department by persons

acting as remittance agents are processed at the following addresses:

1) Office of the Secretary of State

Chicago West Facility

5301 West Lexington Avenue

Chicago, Illinois 60644


Chicago North Facility

5401 North Elston Avenue



Chicago SouthCharles Chew Facility

9901 South Martin Luther King, Jr. Drive



Vehicle Services Department

HowlettCentennial Building, Room 011


b) The business hours are from 7 a.m. until 4:30 p.m. on Monday through Friday at

the HowlettCentennial Building in Springfield. At the Chicago West, North and

SouthCharles Chew Facilities the business hours are from 8 a.m. to 4:30 p.m. on

Monday, Tuesday, Thursday and Friday and from 12 noon until 8 p.m. on

Wednesday. The applications may also be processed by mailing them to the

following address:

Office of the Secretary of State

Vehicle Services Department

HowlettCentennial Building



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SECRETARY OF STATE


c) All transactions shall be delivered to the Department within five (5) days afterof

receipt by the remittance agent. Failure to comply with this Section shall be

grounds for suspension or revocation of the remittance agent's license, based upon

the severity of the violation.

d) Any person who picks -up or receives transactions from other remittance agents,

dealers, currency exchanges, financial institutions or any other person exempt

from being licensed as a remittance agent under IVC Section 3-902 of the Illinois

Vehicle Title & Registration Law of the Illinois Vehicle Code (Ill. Rev. Stat.

1987, ch. 95½, par. 3-902) shall be considered a remittance agent under

provisions of IVC chapter 3, Article IX of Chapter 3 of the Illinois Vehicle Title

& Registration Law of the Illinois Vehicle Code (Ill. Rev. Stat. 1987, ch. 95½,

par. 3-900 et seq.) and required to be licensed in accordance with this Part.

e) The names of all employees of the remittance agent shall appear on the remittance

agent's license application. Those employeesSuch persons shall be issued I.D.

cards authorizing them to process transactions at authorized Secretary of State

facilities. Any person without an I.D. card shall not be allowed to process

transactions. The Department shall be notified in writing of any changes in

personnel, business location, and/or the business name during the licensing year

within ten (10) calendar days of the occurrence afterof the change.

f) No remittance agent shall employ any individual, or any member of that

individual's immediate family, who is employed by the Department or by the

Office of the Secretary of State or a member of his/her immediate family

employed by the Department or the Office of the Secretary of State. This

prohibition shall not apply to persons employed by a remittance agent prior to

April 10, 1983. and the name of any employee within this exception shall be

reported to the Department within thirty (30) days of the effective date of this

rule.

g) Any remittance agent delivering a transaction to the Department shall stamp

his/her remittance number in the designated space on the front of the application.

Any other remittance agent involved in the transaction shall stamp his/her

remittance agent number on the back of the application.


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SECRETARY OF STATE


h) The fee submitted to the Department shall be applied to the corresponding

applications. Failure of the remittance agent to affix the check, electronic

payment, or money order to the proper application shall result in the rejection of

the transaction.


Section 1019.40 Recordkeeping Requirements

a) Each person licensed as a remittance agent as defined in IVC Section 3-900 of the

Illinois Vehicle Title and Registration Law of the Illinois Vehicle Code (Ill. Rev.

Stat. 1987, ch. 95½, par. 3-900) shall maintain for a period of three (3) years a

record of each transaction involving a remittance to the Department.

b) The records shall be maintained in ledger form or be computerized. If

computerized, the records should be available to the auditors from the Accounting

Revenue Department or the officers from the Department of Police within thirty

(30) minutes afterof a request. The records shall contain the following

information:

1) The name and address of the remittance agent. If the remittance agent has

more than one licensed location, the records shall reflect the location

where the transaction was received and/or, processed, or where the records

are kept.

2) The name and address of the applicant submitting the transaction. If a

remittance agent does not make the initial contact with the applicant but

receives a transaction from another remittance agent, dealer, currency

exchange, or financial institution, the second remittance agent shall record

the original applicant's name and that of the initiating remittance agent,

dealer, currency exchange, or financial institution.

3) The address of the Secretary of State facility to which the transaction is

delivered. If the transaction is delivered to another remittance agent for

delivery to the Department, the name and address of the second remittance

agent shall be recorded by the first remittance agent.


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SECRETARY OF STATE


4) The type of application that the transaction involves.

5) The amount of fee received by the remittance agent for delivery to the

Department for each transaction. The funds shall be identified as "cash,",

"check", "electronic payment" or "money order" payable to the Secretary

of State, or "check", "electronic payment" or "money order" payable to the

remitter.

6) The initiating remittance agent shall record the amount of fee received by

the remittance agent for delivery to the Department of Revenue. The

funds shall be identified as "cash", "check", "electronic payment", or

"money order" payable to the Department of Revenue, or "check",

"electronic payment", or "money order" payable to the remitter.

7) The date the fee and transaction were received by the remittance agent.

8) The date the fee and transaction were delivered to the Department and the

method of delivery.

9) The date that the registration plate and/or sticker was delivered to the

applicant or initiating remittance agent, dealer, currency exchange or

financial institution, if applicable. If it is the policy of the remittance

agent to have the applicant pick up the registration plate and/or sticker, the

date that the applicant was notified of its availability, the method of

notification, and date the items were picked up shall be recorded.



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SECRETARY OF STATE


1) Heading of the Part: Cancellation, Revocation or Suspension of Licenses or Permits



1040.1 Amendment

1040.102 Amendment

4) Statutory Authority: Implementing Articles II and VII of the Illinois Vehicle Code [625

ILCS 5/Ch. 6, Arts. II and VII] and authorized by Section 2-104(b) of the Illinois Vehicle

Title and Registration Law of the Illinois Vehicle Code [625 ILCS 5/2-104(b)].















18

SECRETARY OF STATE


15) Summary and Purpose of Rulemaking: Adds definition of "Electronic Payment" and

"Payor". Renames Section 102. Adds procedural information as it relates to

Bankruptcies and "dishonored payments". Makes one grammatical change.


Amy Williams

Legal Advisor



217/785-3094

[email protected]



18

SECRETARY OF STATE




PART 1040

CANCELLATION, REVOCATION OR SUSPENSION

OF LICENSES OR PERMITS

Section

1040.1 Definitions

1040.10 Court to Forward Licenses and Reports of Convictions

1040.20 Illinois Offense Table

1040.25 Suspension or Revocation for Driving Without a Valid Driver's License

1040.28 Suspension or Revocation for Traffic Offense Committed by a Person Under the

Age of 21 Years After a Prior Suspension Under Part 1040.29

1040.29 Suspension or Revocation for Two or More Traffic Offenses Committed Within

24 Months by a Person Under the Age of 21

1040.30 Suspension or Revocation for Three or More Traffic Offenses Committed Within

12 Months

1040.31 Operating a Motor Vehicle During a Period of Suspension or Revocation

1040.32 Suspension or Revocation of Driver's Licenses, Permits or Identification Cards

Used Fraudulently

1040.33 Suspension or Revocation of Driver's Licenses/Permits for Fictitious or

Unlawfully Altered Disability License Plate or Parking Decal or Device or

Fraudulent Disability License Plate or Parking Decal or Device

1040.34 Suspension or Revocation for Conviction for Possession/Consumption of Alcohol

for Persons Under Age 21

1040.35 Administrative Revocation for Commission of an Offense Requiring Mandatory

Revocation Upon Conviction, and Suspension or Revocation Based Upon a Local

Ordinance Conviction

1040.36 Suspension for Violation of Restrictions on Driver's License

1040.37 Suspension for Violation of Restrictions on Instruction Permit

1040.38 Commission of a Traffic Offense in Another State

1040.40 Suspension or Revocation for Repeated Convictions or Collisions

1040.41 Suspension of Licenses for Curfew or Night Time Driving Restriction Violations

1040.42 Suspension or Revocation for Fleeing and Eluding

1040.43 Suspension or Revocation for Illegal Transportation

1040.44 Suspension or Revocation for Violation of Possession of Medical Cannabis in a


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SECRETARY OF STATE


Motor Vehicle

1040.46 Suspension or Revocation for Personal Injury Suspensions or Revocations

1040.48 Vehicle Emission Suspensions (Repealed)

1040.50 Occupational Driving Permit

1040.52 Driver Remedial Education Course

1040.55 Suspension or Revocation for Driver's License Classification Violations

1040.60 Release of Information Regarding a Disposition of Court Supervision

1040.65 Offenses Occurring on Military Bases

1040.66 Invalidation of a Restricted Driving Permit

1040.70 Problem Driver Pointer System

1040.80 Cancellation of Driver's License Upon Issuance of a Disabled Person

Identification Card

1040.100 Rescissions

1040.101 Reinstatement Fees

1040.102 Bankruptcy Rule for Suspensions, Cancellations, Failure to Pay, and Returned

Check and Dishonored Electronic PaymentChecks Actions

1040.105 Suspension for Five or More Tollway Violations and/or Evasions

1040.107 Suspension for Violation of Improperly Approaching a

Stationary Emergency Vehicle

1040.108 Suspension for Failure to Make Report of Vehicle Accident Violations

1040.109 Suspension for Two or More Convictions for Railroad Crossing Violations

1040.110 Bribery

1040.111 Suspension for Failure to Yield upon Entering a Construction or Maintenance

Zone when Workers Are Present

1040.115 Suspension for Theft of Motor Fuel

1040.116 Discretionary Suspension/Revocation; Committing Perjury; Submitting

False/Fraudulent Documents; Notification by Department of Administrative

Hearings

1040.117 Suspension for Concealment or Obstruction of Registration to Hinder Law

Enforcement

AUTHORITY: Implementing Articles II and VII of the Illinois Vehicle Code [625 ILCS 5/Ch.

6, Arts. II and VII] and authorized by Section 2-104(b) of the Illinois Vehicle Title and

Registration Law of the Illinois Vehicle Code [625 ILCS 5/2-104(b)].

SOURCE: Filed September 22, 1972; amended at 3 Ill. Reg. 26, p. 282, effective June 30, 1979;

amended at 5 Ill. Reg. 3533, effective April 1, 1981; amended at 6 Ill. Reg. 4239, effective April


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SECRETARY OF STATE


2, 1982; codified at 6 Ill. Reg. 12674; amended at 8 Ill. Reg. 2200, effective February 1, 1984;


September 25, 1984; amended at 8 Ill. Reg. 23385, effective November 21, 1984; amended at 10

Ill. Reg. 15265, effective September 4, 1986; amended at 11 Ill. Reg. 16977, effective October 1,

1987; amended at 11 Ill. Reg. 20659, effective December 8, 1987; amended at 12 Ill. Reg. 2148,

effective January 11, 1988; amended at 12 Ill. Reg. 14351, effective September 1, 1988;

amended at 12 Ill. Reg. 15625, effective September 15, 1988; amended at 12 Ill. Reg. 16153,

effective September 15, 1988; amended at 12 Ill. Reg. 16906, effective October 1, 1988;

amended at 12 Ill. Reg. 17120, effective October 1, 1988; amended at 13 Ill. Reg. 1593, effective

January 23, 1989; amended at 13 Ill. Reg. 5162, effective April 1, 1989; amended at 13 Ill. Reg.

7802, effective May 15, 1989; amended at 13 Ill. Reg. 8659, effective June 2, 1989; amended at

13 Ill. Reg. 17087, effective October 16, 1989; amended at 13 Ill. Reg. 20127, effective

December 8, 1989; amended at 14 Ill. Reg. 2944, effective February 7, 1990; amended at 14 Ill.

Reg. 3664, effective February 7, 1990; amended at 14 Ill. Reg. 5178, effective April 1, 1990;


August 21, 1990; amended at 14 Ill. Reg. 18088, effective October 22, 1990; amended at 15 Ill.

Reg. 14258, effective September 24, 1991; amended at 17 Ill. Reg. 8512, effective May 27,


effective July 21, 1993; amended at 18 Ill. Reg. 7447, effective May 3, 1994; amended at 18 Ill.

Reg. 10853, effective June 27, 1994; amended at 18 Ill. Reg. 11644, effective July 7, 1994;


effective January 26, 1996; amended at 21 Ill. Reg. 8398, effective June 30, 1997; amended at

21 Ill. Reg. 10985, effective July 29, 1997; amended at 21 Ill. Reg. 12249, effective August 26,

1997; amended at 21 Ill. Reg. 12609, effective August 29, 1997; amended at 22 Ill. Reg. 1438,

effective January 1, 1998; amended at 22 Ill. Reg. 5083, effective February 26, 1998; amended at

22 Ill. Reg. 13834, effective July 10, 1998; amended at 24 Ill. Reg. 1655, effective January 11,

2000; emergency amendment at 24 Ill. Reg. 8398, effective June 2, 2000, for a maximum of 150

days; emergency expired October 29, 2000; emergency amendment at 24 Ill. Reg. 16096,

effective October 12, 2000, for a maximum of 150 days; amended at 24 Ill. Reg. 16689, effective

October 30, 2000; amended at 25 Ill. Reg. 2723, effective January 31, 2001; amended at 25 Ill.

Reg. 6402, effective April 26, 2001; emergency amendment at 26 Ill. Reg. 2044, effective

February 1, 2002, for a maximum of 150 days; emergency expired June 30, 2002; emergency

amendment at 26 Ill. Reg. 3753, effective February 21, 2002, for a maximum of 150 days;

emergency expired July 20, 2002; amended at 26 Ill. Reg. 12373, effective July 25, 2002;

amended at 26 Ill. Reg. 13684, effective August 28, 2002; amended at 29 Ill. Reg. 2441,

effective January 25, 2005; amended at 29 Ill. Reg. 13892, effective September 1, 2005;

amended at 29 Ill. Reg. 15968, effective October 7, 2005; amended at 30 Ill. Reg. 1896, effective


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SECRETARY OF STATE


January 26, 2006; amended at 30 Ill. Reg. 2557, effective February 10, 2006; amended at 30 Ill.

Reg. 11299, effective June 12, 2006; amended at 31 Ill. Reg. 4792, effective March 12, 2007;


May 3, 2007; amended at 31 Ill. Reg. 7656, effective May 21, 2007; amended at 31 Ill. Reg.

11356, effective July 19, 2007; amended at 31 Ill. Reg. 14559, effective October 9, 2007;


January 22, 2009; amended at 33 Ill. Reg. 9801, effective June 25, 2009; amended at 33 Ill. Reg.

15073, effective October 21, 2009; amended at 34 Ill. Reg. 570, effective December 22, 2009;


May 31, 2011; amended at 36 Ill. Reg. 10055, effective June 29, 2012; amended at 36 Ill. Reg.

11211, effective July 5, 2012; amended at 37 Ill. Reg. 1762, effective January 25, 2013;


April 15, 2014; amended at 39 Ill. Reg. 9475, effective June 23, 2015; amended at 39 Ill. Reg.

11648, effective July 28, 2015; amended at 39 Ill. Reg. 14983, effective October 29, 2015;

amended at 40 Ill. Reg. 7372, effective May 2, 2016; amended at 40 Ill. Reg. 15417, effective

December 1, 2016; amended at 41 Ill. Reg. 13705, effective October 30, 2017; amended at 42 Ill.

Reg. 235, effective December 19, 2017.


Unless otherwise noted, the following definitions shall apply to this Part.

"Alcohol Related Suspension" – a suspension in accordance with IVC Sections

6-206(a)(6), (a)(17), (a)(23) and (a)(33), 11-501.1, 11-501.6 (only when the driver

has a positive test for alcohol or drugs) and 11-501.8.

"Amnesty" – a sovereign act of forgiveness for past acts granted by a government

to all persons (or to certain persons) generally conditioned upon their return to

obedience and duty within a prescribed time as recognized by the Immigration

Reform and Control Act of 1986 (P.L. 99-603).

"Applicant" − a person applying for an Illinois driver's license or permit.

"Authority" – Illinois State Toll Highway Authority.

"Authorized Holder" – an individual issued a disability license plate pursuant to

IVC Section 3-616, an individual issued a parking decal or device pursuant to IVC


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SECRETARY OF STATE


Section 11-1301.2 or an individual issued a disabled veteran's license plate

pursuant to IVC Section 3-609 or 3-609.01.

"Authorized Personnel" – the Director, a manager or administrator of the Driver

Services Department or an instructor, Secretary of State Police or Inspector

General.

"Auto Emissions Suspension" – a suspension for failing to have a vehicle tested

pursuant to the Vehicle Emissions Inspection Law of the Illinois Vehicle Code.

"Automated Traffic Law Violation Suspension" – a suspension in accordance with

IVC Section 6-306.5 for failure to satisfy fines or penalties for five or more

automated traffic law violations.

"BAIID" – Breath Alcohol Ignition Interlock Device.

"Bankruptcy Debtor" – a debtor under any chapter of the federal Bankruptcy Code

(11 USC).

"Bribe" – any item or thing of value, payment, or other personal advantage that an

employee of the Office of the Secretary of State, the owner or employee of any

commercial driver training school licensed by the Secretary of State, or any other

individual authorized by the laws of this State to give driving instructions or

administer any part of a driver's license examination is not authorized by law or

administrative rule to accept, knowing or reasonably believing that the item, thing

of value, payment or advantage was promised or tendered with the intent to

influence or change the performance of any act or duty related to the issuance of a

driver's license.

"Bribery" – the solicitation or accepting of any bribe or improper offering.

"Cancellation" – the annulment or termination by formal action of the Secretary of

a person's driver's license or permit because of some error or defect in the license

or because the licensee is no longer entitled to the license or permit.

"Chapter 13 Plan" – an order by a United States Bankruptcy Court requiring a

monthly payment from the wages of a debtor.


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SECRETARY OF STATE


"Clean File" – an electronic file that a state submits to the National Driver

Register (NDR) containing all appropriate records from the state as of a given

date, which will replace all prior records on the NDR database.

"Clearance Letter" – any document received from another state dated within 30

days prior to the current process date verifying that an individual has had his/her

driving privileges restored in that state.

"Cleared Suspension or Revocation" – a suspension or revocation of driving

privileges that has terminated.

"Commercial Driver's License" or "CDL" − a license issued to an individual by a

state or other jurisdiction of domicile, in accordance with the standards contained

in 49 CFR 383 (October 1, 2014), that authorizes the individual to operate a class

of commercial motor vehicle as defined in IVC Section 1-111.6.

"Commercial Driver License Information System" or "CDLIS" − the information

system established, pursuant to the Commercial Motor Vehicle Safety Act of 1986

(CMVSA) (49 USC 2701 et seq.), to serve as a clearinghouse for locating

information related to the licensing and identification of commercial motor

vehicle drivers [625 ILCS 5/1-111.7].

"Commercial Learner's Permit" or "CLP" – a permit issued to an individual by a

state or other jurisdiction of domicile, in accordance with the standards contained

in 49 CFR 383 (October 1, 2014), which, when carried with a valid driver's

license issued by the same state or jurisdiction of domicile, authorizes the

individual to operate a class of commercial motor vehicle when accompanied by a

holder of a valid CDL for purposes of behind-the-wheel training. When issued to

a CDL holder, a CLP serves as authorization for accompanied behind-the-wheel

training in a commercial motor vehicle for which the holder's current CDL is not

valid.

"Commercial Motor Vehicle" or "CMV" – a motor vehicle or combination of

motor vehicles used in commerce designed to transport passengers or property if

the motor vehicle:


18

SECRETARY OF STATE


has a gross combination weight rating or gross combination weight of

11,794 kilograms or more (26,001 pounds or more), whichever is greater,

inclusive of any towed unit with a gross vehicle weight rating or a gross

vehicle weight of more than 4,536 kilograms (10,000 pounds), whichever

is greater; or

has a gross vehicle weight rating or gross vehicle weight of 11,794 or

more kilograms (26,001 pounds) or more, whichever is greater; or

is designed to transport 16 or more passengers, including the driver; or

is of any size and is used in transporting hazardous materials as defined in

49 CFR 383.5 (October 1, 2014).

Commercial Motor Vehicle does not include:

recreational vehicles, when operated primarily for personal use;

vehicles owned by or operated under the direction of the United States

Department of Defense or the United States Coast Guard, only when

operated by non-civilian personnel. This includes any operator on active

military duty; members of the Reserves; National Guard; personnel on

part-time training; and National Guard military technicians (civilians who

are required to wear military uniforms and are subject to the Code of

Military Justice); or

firefighting, police, and other emergency equipment (including, without

limitation, equipment owned or operated by a HazMat or technical rescue

team authorized by a county board under Section 5-1127 of the Counties

Code [55 ILCS 5]), with audible and visual signals, owned or operated by

or for a governmental entity, which is necessary to the preservation of life

or property or the execution of emergency governmental functions which

are normally not subject to general traffic rules and regulations. [625

ILCS 5/6-500(6)]

"Commercial Vehicle" – any vehicle operated for the transportation of persons or

property in the furtherance of any commercial or industrial enterprise, For-Hire


18

SECRETARY OF STATE


or Not-For-Hire, but not including a commuter van, a vehicle used in a

ridesharing arrangement when being used for that purpose, or a recreational

vehicle not being used commercially [625 ILCS 5/1-111.8].

"Conviction" – a final adjudication of guilty by a court of competent jurisdiction

either after a bench trial, trial by jury, plea of guilty, order of forfeiture, or

default [625 ILCS 5/6-100(b)].

"Conviction-CLP Holder" or "Conviction-CDL Holder" – an unvacated

adjudication of guilt, or a determination that a person has violated or failed to

comply with the law in a court of original jurisdiction or by an authorized

administrative tribunal; an unvacated forfeiture of bail or collateral deposited to

secure the person's appearance in court; a plea of guilty or nolo contendere

accepted by the court; the payment of a fine or court cost regardless of whether

the imposition of sentence is deferred and ultimately a judgment dismissing the

underlying charge is entered; or a violation of a condition of release without bail,

regardless of whether or not the penalty is rebated, suspended or probated. [625

ILCS 5/6-500(8)]

"Creditor" – a person to whom a debt is owed by another.

"Curfew" – the hours by which any person under 17 years of age may not lawfully

be present at or upon any public assembly, building, place, street or highway as

provided in Section 1 of the Child Curfew Act [720 ILCS 555/1].

"Curfew Violation Suspension" – a suspension when a minor operates a vehicle

on a highway during the prescribed hours without an adult or as otherwise

provided for in Section 1 of the Child Curfew Act in accordance with IVC Section

6-206(a)(13).

"Debtor" – a person who owes a debt.

"Delayed Search" – the NDR will perform a delayed search of its Pointer File

periodically for a duration of at least 104 days following an original inquiry. This

search is done in order to insure that if an action occurs following an inquiry, that

action will be sent to the SOI in the form of a Delayed Search Response (see 23

CFR 1325 and 1327).


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SECRETARY OF STATE


"Deletion" – the permanent removal of an entry from a driving record.

"Denial of Driver's License" – to prohibit or disallow the privilege to obtain a

driver's license while allowing the privilege to obtain an instruction permit and

limiting privileges to that of an instruction permit, if a driver's license has

previously been issued in accordance with IVC Sections 6-107(c) and 6-107(d).

"Denial of Driving Privilege" – to prohibit or disallow the privilege to obtain a

driver's license or permit and/or the privilege to operate a motor vehicle in

accordance with IVC Sections 6-107(c) and 6-108.1.

"Department" – the Department of Driver Services within the Office of the

Secretary of State.

"Department of Administrative Hearings" – Department of Administrative

Hearings within the Office of the Secretary of State.

"Department of Vehicle Services" – Department of Vehicle Services within the

Office of the Secretary of State.

"Disability License Plate or Parking Decal or Device-Making Implement" – any

implement specially designed or primarily used in the manufacture, assembly or

authentication of a disability license plate or parking decal or device, or a license

plate issued to a disabled veteran under IVC Section 3-609 or 3-609.01 issued by

the Secretary of State or a unit of local government [625 ILCS 5/11-1301.6(a)].

"Disabled Person Identification Card" – a standard identification card as defined

in Section 4A of the Illinois Identification Card Act [15 ILCS 335/4A] issued for

no fee to persons who meet the definition of disabled as defined in IVC Section

1-159.1 or who have a disability so severe that it precludes him/her from

obtaining an Illinois driver's license (see Section 4A(b)).

"Disqualification" – the suspension, revocation, or cancellation of a CLP or CDL

by the state or jurisdiction of issuance; any withdrawal of a person's privileges to

drive a commercial motor vehicle by a state or other jurisdiction as a result of a

violation of state or local law relating to motor vehicle traffic control (other than


18

SECRETARY OF STATE


parking, vehicle weight or vehicle defect violations); a determination by the

Federal Motor Carrier Safety Administration that a person is not qualified to

operate a commercial vehicle under 49 CFR 391 [625 ILCS 5/1-115.3].

"Disqualified" − the denial of the issuance of a license or permit or the

invalidation of any license or permit.

"Driving Abstract" − a record kept by the Department of Driver Services

containing all information required by IVC Section 6-106(b) and all records of

violations of traffic laws and administrative actions pertaining to driving

privileges.

"Driver's License or Permit" – a document that permits a person to legally operate

a motor vehicle, including a restricted driving permit, judicial driving permit,

instruction permit, traffic ticket issued when the person's driver's license is

deposited in lieu of bail, suspension notice in which the suspension is not yet

effective, duplicate or corrected driver's license, temporary instruction permit,

temporary driver's license, temporary visitor instruction permit, temporary visitor

driver's license, or probationary driver's license.

"Driver History Record" – a standardized form of limited information obtained

from the SOR when an SOI makes a history request.

"Driver Remedial Education Course" – an organized remedial activity approved

by the Driver Services Department for improving the driving habits of certain

suspended drivers. The course shall consist of individual counseling and/or group

sessions of instruction and shall not exceed two sessions or a total of nine hours of

instruction.

"Driver Status" – the current status of a driver's license in the SOR, indicating

whether the license is currently valid, revoked, suspended or withdrawn, that is

supplied via computer automation when an SOI makes a request to an SOR.

"Electronic Payment" – payment made by any person or corporation to the Office

of the Secretary of State by credit card or electronic transfer of funds.


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SECRETARY OF STATE


"Facility Administered Test" – an actual demonstration of the driver's license

applicant's ability to successfully pass a vision, written and/or drive test

administered by a Driver Services Facility employee or individual or entity

approved by the Department to administer such tests.

"Failure to Appear Suspension" – a suspension for failing to pay a fine or appear

in court following the issuance of a traffic ticket as defined in IVC Section

6-306.3.

"Failure to Pay" – an indication on a driving record that an individual has failed to

pay fines and costs in full on a traffic ticket, which prohibits the renewal,

reissuance, or reinstatement of driving privileges pursuant to IVC Section

6-306.6.

"False Information" – any information concerning an individual's legal name,

address, sex, date of birth, social security number or any photograph that:

falsifies all or in part the actual identity of the individual issued the

license, permit or identification card;

in the case of information concerning an address, is information

concerning a non-existent address that is used to obtain a license, permit

or identification card; or

is any combination of a false identity and a non-existent address. [625

ILCS 5/6-301.1(a)(2) and 15 ILCS 335/14A(a)(2)]

"False Information – Disability Plate or Parking Placard Decal or Device" – any

incorrect or inaccurate information concerning the name, date of birth, social

security number, driver's license number, physician certification, or any other

information required on the Persons with Disabilities Certification for Plate or

Parking Placard, on the Application for Replacement Disability Parking Placard,

or on the application for license plates issued to disabled veterans pursuant to IVC

Section 3-609 or 3-609.01 that falsifies the content of the application.

"Family Financial Responsibility Suspension" – a suspension in accordance with

IVC Section 7-702.


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SECRETARY OF STATE


"Farm Tractor" – every motor vehicle designed and used primarily as a farm

implement for drawing wagons, plows, mowing machines and other implements of

husbandry, and every implement of husbandry that is self-propelled, excluding

all-terrain vehicles and off-highway motorcycles [625 ILCS 5/1-120].

"Fictitious Driver's License or Permit" – any issued license or permit for which a

computerized number and file have been created by the Secretary of State or other

official driver's license agency in another jurisdiction that contains false

information concerning the identity of the individual issued the license or permit

[625 ILCS 5/6-301.1(a)(1)].

"Fictitious Disability License Plate or Parking Decal or Device" – any issued

disability license plate or parking decal or device, or any license plate issued to a

disabled veteran under IVC Section 3-609 or 3-609.01, that has been issued by

the Secretary of State or an authorized unit of local government that was issued

based upon false information contained on the required application [625 ILCS

5/11-1301.5(a)].

"Fictitious Identification Card" – any issued identification card for which a

computerized number and file have been created by the Secretary of State, the

United States Government, or any other state or political subdivision thereof, or

any governmental or quasi-governmental organization that contains false

information concerning the identity of the individual issued the identification card

[15 ILCS 335/14A(a)(1)].

"Financial Responsibility Suspension" – a suspension in accordance with IVC

Section 7-304 and/or 7-305.

"Fraudulent Disability License Plate or Parking Decal or Device" – any disability

license plate or parking decal or device that purports to be an official disability

license plate or parking decal or device and that has not been issued by the

Secretary of State or an authorized unit of local government [625 ILCS

5/11-1301.6(a)].

"Fraudulent Documents" or "Falsified Documents" − any documents submitted by

or on behalf of a petitioner to the Secretary that purport or are represented to be


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SECRETARY OF STATE


prepared or composed by another person, agency or entity that did not actually

prepare or compose the documents, or documents that were prepared for a person

acting as the petitioner.

"Fraudulent Driver's License or Permit" – any license or permit that purports to

be an official driver's license or permit for which a computerized number and file

have not been created by the Secretary of State or other official driver's license

agency in another jurisdiction [625 ILCS 5/1-123.4].

"Fraudulent Identification Card" – any identification card that purports to be an

official identification card for which a computerized number and file have not

been created by the Secretary of State, the United States Government or any state

or political subdivision thereof, or any governmental or quasi-governmental

organization. For the purpose of this definition, any identification card that

resembles an official identification card in size, color, photograph location, or

design, or uses the word "official", "State", "Illinois", or the name of any other

state or political subdivision thereof, or any governmental or quasi-governmental

organization individually or in any combination thereof to describe or modify the

term "identification card" or "I.D. card" anywhere on the card, or uses a shape in

the likeness of Illinois or any other state on the photograph side of the card, is

deemed to be a fraudulent identification card. [15 ILCS 335/1A]

"Hearing Officer" – any person designated by the Secretary of State to preside at

any hearing conducted pursuant to the rules established by the Office of the

Secretary of State (92 Ill. Adm. Code 1001).

"Hospital" − an institution that provides medical or surgical care and treatment for

the sick and injured.

"Identification Card" – any document made or issued by or under the authority of

the United States Government, the State of Illinois, or any other state or political

subdivision thereof, or any other governmental or quasi-governmental

organization that, when completed with information concerning the individual, is

of a type intended or commonly accepted for the purpose of identification of an

individual [15 ILCS 335/14A(a)(5)].


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SECRETARY OF STATE


"Illinois Vehicle Code" or "Code" or "IVC" − the Illinois Vehicle Code [625

ILCS 5].

"Implement of Husbandry" – every vehicle designed and adapted exclusively for

agricultural, horticultural, or livestock raising operations, including farm

wagons, wagon trailers or like vehicles used in connection therewith, or for lifting

or carrying an implement of husbandry, provided that no farm wagon, wagon

trailer or like vehicle having a gross weight of more than 36,000 pounds shall be

included under this definition [625 ILCS 5/1-130].

"Instruction Permit" – a driving permit issued to operate a motor vehicle pursuant

to the requirements of IVC Section 6-105 or 6-107.1.

"Invalidate" – to render invalid any driver's license, permit or driving privileges.

"Judicial Driving Permit" – a driving permit issued to grant a driver limited

driving privileges as provided in IVC Section 6-206.1.

"Law Enforcement Officials" − police agencies, state's attorneys' offices or court

officials.

"Law Enforcement Sworn Report" – a confirmation of correctness and truth by an

affidavit, oath or deposition, or a verification by certification, executed by a police

officer in accordance with Section 1-109 of the Code of Civil Procedure [735

ILCS 5/1-109] and pursuant to IVC Section 11-501.1(d).

"License Classification" – a notation on a driver's license or permit indicating the

type of vehicle a person is qualified to operate.

"Like Period of Time" – an equal amount of time as the original suspension

specified.

"Mandatory Conviction Suspension" – a suspension in accordance with IVC

Section 3-707.


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SECRETARY OF STATE


"Materially Altered Documents" − any documents submitted by or on behalf of a

petitioner to the Secretary that have been physically altered or changed by

someone other than the author of the documents.

"Miscellaneous Suspension" – a suspension for safety responsibility, financial

responsibility, warrant parking/traffic, auto emissions, failure to appear, curfew,

mandatory conviction, tollway, family financial responsibility, automated traffic

law violation, night time driving restriction, or unsatisfied judgment.

"Motor Carrier" − any person engaged in the transport of property or

passengers, or both, for hire, over the public roads of this State, by motor vehicle

[625 ILCS 5/18C-1104(19)].

"National Driver Register" or "NDR" – a computerized database of files on

drivers maintained by the U.S. Department of Transportation, National Highway

Traffic Safety Administration.

"Night Time Driving Restriction" – the hours during which a driver's privileges

are not valid pursuant to IVC Sections 6-107.1(b), 6-110(a-1) or 6-110(a-3).

"Night Time Driving Restriction Suspension" − a suspension when a minor

operates a vehicle on a highway during the prescribed hours without an adult or as

otherwise provided for in accordance with IVC Sections 6-107.1(b) and

6-110(a-1).

"Notice of Automatic Stay" – any notice received by the Department that

indicates a debtor has filed a petition in bankruptcy, which automatically stays

any proceedings against him or her pursuant to Section 362 of the Bankruptcy

Reform Act of 1978 (11 USC 362).

"Notice of Meeting of Creditors" – a notice from the United States Bankruptcy

Court informing the entities that have a claim against the debtor that the debtor

has filed bankruptcy.

"Occupational Driving Permit" – the document that grants and specifies limited

privileges to drivers of commercial vehicles as an occupation who have had their


18

SECRETARY OF STATE


full driving privileges suspended. The occupational driving permit is valid only

when in the immediate possession of the driver to whom it is issued.

"Office" − the Office of the Secretary of State.

"Open Cancellation or Disqualification" – a cancellation or disqualification that

appears on the driving record and is in effect.

"Open Suspension or Revocation" – a suspension or revocation that appears on

the driving record and is in effect.

"Parking Suspension" – a suspension imposed for failure to pay fines or penalties

for standing or parking violations pursuant to IVC Section 6-306.5.

"Payor" – a person, business or corporation making payment to the Office of the

Secretary of State, whether by check, electronic payment or any other means.

"Pending Cancellation or Disqualification" – a cancellation or disqualification that

appears on the driving record and is not yet in effect.

"Pending Suspension or Revocation" – a suspension or revocation that appears on

the driving record and is not yet in effect.

"Petition for Discharge Filed in Bankruptcy" – an order by a United States

Bankruptcy Court relieving an individual from all of his/her debts that are

provable in bankruptcy, except those excluded by the federal Bankruptcy Code.

"Petition in Bankruptcy" – a petition filed in Bankruptcy Court, or with the Clerk,

by a debtor seeking the protection of the federal Bankruptcy Code.

"Petitioner" − any person or party who is the subject of an administrative hearing

before the Secretary under the provisions of the Illinois Vehicle Code (see 92 Ill.

Adm. Code 1001).

"Prior Suspension or Revocation" – a suspension or revocation or extension of a

suspension or revocation that appears on the driving record.


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SECRETARY OF STATE


"Probationary License" – a conditional license granting full driving privileges

during a period of suspension [625 ILCS 5/1-164.1].

"Problem Driver Pointer System" or "PDPS" – a pointer file consisting of an

index of problem drivers (as determined by adverse driver's license actions) that is

maintained by a driver's home state (SOR) and is accessed by other states (SOI) to

determine a person's eligibility to apply for a driver's license.

"Reckless Driving" – driving a motor vehicle with a willful or wanton disregard

for the safety of persons or property or knowingly driving a vehicle using an

incline in a roadway, such as a railroad crossing, bridge approach or hill to

cause the vehicle to become airborne [625 ILCS 5/11-503].

"Record of Judgment" – an adjudication by the court that the defendant is guilty,

including the sentence pronounced by the court.

"Reinstatement Fee" – the fee required by IVC Section 6-118(b) to restore a

person's driving privileges after driving privileges have been suspended or

revoked.

"Request" – the written application upon the designated form, an approved

electronic format, or an acceptable alternative for obtaining a driving abstract and

supervision history record.

"Rescind" – to annul or void a suspension, revocation, cancellation,

disqualification or denial.

"Restricted Driving Permit" or "RDP" – a document that grants and specifies

limited privileges to drivers of motor vehicles who have had their full driving

privileges suspended, revoked or cancelled [625 ILCS 5/1-173.1].

"Restriction" – the notation on a driver's license or permit indicating requirements

deemed applicable to the licensee by the Secretary of State to assure safe

operation of a motor vehicle.

"Returned Check" – a check delivered to the Office of the Secretary of State as

payment of any fee when the check is not honored due to non-sufficient funds.


18

SECRETARY OF STATE


"Revocation" – the termination by formal action of the Secretary of a person's

license or privilege to operate a motor vehicle on the public highways, which

termination shall not be subject to renewal or restoration, except that an

application for a new license may be presented and acted upon by the Secretary

after the expiration of at least one year after the date of revocation [625 ILCS

5/1-176].

"Safety Responsibility Suspension" – a suspension in accordance with IVC

Section 7-205 or 7-208.

"Schedule A-3" – a schedule of liabilities.

"Secretary of State" – the Secretary of State of Illinois [625 ILCS 5/1-184].

"State of Inquiry" or "SOI" – a licensing jurisdiction that originated the inquiry for

a driver history record or driver status.

"State of Record" or "SOR" – a licensing jurisdiction that originally took action

against a problem driver and reported that driver to the NDR.

"Statutory Summary Revocation" – the revocation by the Secretary of State of a

person's license or privilege to operate a motor vehicle on the public highways for

the period provided in IVC Section 6-208.1. Reinstatement after the revocation

period shall occur after the person has been approved for reinstatement through

an administrative hearing with the Secretary of State, has filed proof of financial

responsibility, has paid the reinstatement fee as provided in IVC Section 6-118,

and has successfully completed all necessary examinations. The basis for this

revocation of driving privileges shall be the individual's refusal to submit to or

failure to complete a chemical test or tests following an arrest for the offense of

driving under the influence of alcohol, other drugs, or intoxicating compounds, or

any combination thereof, involving a motor vehicle accident. [625 ILCS

5/1-197.6]

"Statutory Summary Suspension" – a withdrawal of a person's license or privilege

to operate a motor vehicle on the public highways due to refusal to submit to or

failure to complete or pass a chemical test or tests following an arrest for driving


18

SECRETARY OF STATE


under the influence of alcohol, other drugs, or intoxicating compounds, or any

combination thereof, for the periods provided in IVC Section 6-208.1.

"Stricken on Leave" or "SOL" – stricken from court docket with permission for

charges to be reinstated at a later date.

"Supervision" – a disposition of conditional and revocable release without

probationary supervision, but under such conditions and reporting requirements

as are imposed by the court, at the successful conclusion of which disposition the

defendant is discharged and a judgment dismissing the charges is entered [730

ILCS 5/5-1-21].

"Supervision History Record" − a record kept by the Department of Driver

Services on each driver containing supervision disposition information provided

in accordance with IVC Section 6-204(d).

"Suspension" – the temporary withdrawal by formal action of the Secretary of a

person's license or privilege to operate a motor vehicle on the public highways,

for a period specifically designated by the Secretary [625 ILCS 5/1-204].

"Suspension or Revocation in Effect" – a suspension or revocation that appears on

the driving record and has not terminated.

"Terminated Suspension or Revocation" – a suspension or revocation that appears

on the driving record and is no longer in effect.

"Tollway Suspension" − a suspension of a driver's license and/or driving

privileges for failure to satisfy fines or penalties for five or more tollway

violations, tollway evasions or any combination thereof, in accordance with IVC

Section 6-306.7.

"Type A Injury" – an injury that requires immediate professional attention in

either a doctor's office or a medical facility and includes severely bleeding

wounds, distorted extremities and injuries that require the injured party to be

carried from the scene.


18

SECRETARY OF STATE


"Trustee Report of No Assets" – a report from the trustee of the United States

Bankruptcy Court indicating the debtor has no assets.

"Unlawfully Altered Disability License Plate or Parking Permit or Device" – any

disability license plate or parking permit or device, or any license plate issued to

a disabled veteran under IVC Section 3-609 or 3-609.01, issued by the Secretary

of State or an authorized unit of local government that has been physically altered

or changed in such manner that false information appears on the license plate or

parking decal or device [625 ILCS 5/11-1301.5(a)].

"Unlawfully Altered Driver's License or Permit" – any issued license or permit for

which a computerized number and file have been created by the Secretary of State

or other official driver's license agency in another jurisdiction that has been

physically altered or changed in such a manner that false information appears

upon the license or permit [625 ILCS 5/6-301.1(a)(3)].

"Unlawfully Altered Identification Card" – any issued identification card for

which a computerized number and file have been created by the Secretary of

State, the United States Government, any other state or political subdivision

thereof, or any governmental or quasi-governmental organization that has been

physically altered or changed in such a manner that false information appears

upon the identification card [15 ILCS 335/14A(a)(3)].

"Unsatisfied Judgment Suspension" – a suspension in accordance with IVC

Section 7-303 or 7-313.

"Vacate" – to set aside, annul, rescind, render void, or cancel an order.

"Valid Driver's License or Permit" – a license or permit issued by the Secretary of

State that is of the proper classification for the purposes for which it is being used

and that has not been invalidated, denied, cancelled, revoked, suspended,

disqualified or used after curfew or during a night time driving restriction.

"Warrant Parking/Traffic Suspension" – a suspension for arrest warrants issued

for failure to pay fines for traffic or parking violations in accordance with Section

6-306.6 of the Illinois Vehicle Code or for failure to pay a fine or penalty for 10 or


18

SECRETARY OF STATE


more standing, parking or compliance regulations in accordance with IVC Section

6-306.5.

"Withdrawal" – the negating of valid driving privileges by a state as the result of

sanctions taken against driving privileges.


Section 1040.102 Bankruptcy Rule for Suspensions, Cancellations, Failure to Pay, and

Returned Check and Dishonored Electronic PaymentChecks Actions

a) If a debtor's driving privileges have been or will be suspended for a parking

suspension pursuant to IVC Section 6-306.5, and if the parking or standing tickets

are issued prior to petition for discharge, or, if a debtor's driving privileges have

been or will be cancelled as a result of a returned check, dishonored credit card, or

dishonored electronic payment pursuant to IVC Section 6-201(a)(3), proper notice

to the Department shall result in the rescission of the suspension or cancellation

from the driving record.

b) If a debtor's privilege to renew or be reissued a driver's license has been or will be

prohibited based upon a returned check, dishonored credit card, or dishonored

electronic payment pursuant to IVC Section 6-201(a)(3), or based upon a report of

failure to pay traffic fines and court costs pursuant to IVC Section 6-306.6, proper

notice to the Department shall result in the deletion of this indication from the

driving record.

c) Proper notice shall consist of, but not be limited to, one of the following:

1) Petition in Bankruptcy

2) Notice of Meetingmeeting of Creditors

3) Schedule A-3 or Schedule of Creditors

4) Trustee Report of No Assets

5) Petition for Discharge Filed in Bankruptcy


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SECRETARY OF STATE


6) Notice of Automatic Stay

7) Chapter 13 Wage Earner Plan

d) Any evidence documenting an event prior in time to actual petition for discharge

shall be used by the Department to confirm a petition for discharge in bankruptcy

has occurred.

e) The debtor shall notify the Department if the Petition in Bankruptcy has been

dismissed or the debt has been discharged in bankruptcy.

f) Any previous action taken by the Department to rescind a suspension or prevent

the renewal or reissuance of a driver's license or permit based upon proper notice

of bankruptcy under this Section shall be reinstituted when:

1) the Petition in Bankruptcy has been dismissed; or

2) the United States Bankruptcy Court orders the debt nondischargeable; or

3) a court of competent jurisdiction enters an order finding the debt upon

which the action is based nondischargeable pursuant to applicable

sectionsSections of 11 USC 523(a) and the U.S. Supreme Court's Federal

Rule of Bankruptcy Procedure 4007 (at www.uscourts.gov).Bankruptcy

Rule 4007 as now or hereafter amended.



17


ILLINOIS GENERAL ASSEMBLY

SECOND NOTICES RECEIVED

The following second notices were received during the period of December 19, 2017 through

December 27, 2017. These rulemakings are scheduled for review at the Committee's January 2018

meeting. Other items not contained in this published list may also be considered. Members of the

public wishing to express their views with respect to a rulemaking should submit written comments

to the Committee at the following address: Joint Committee on Administrative Rules, 700 Stratton

Bldg., Springfield IL 62706.

Second

Notice

Expires

Agency and Rule

Start

of First

Notice

JCAR

Meeting

2/1/18 Department of Public Health, HIV/AIDS

Confidentiality and Testing Code (77 Ill. Adm.

Code 697)

3/31/17

41 Ill. Reg.

3795

1/16/18

2/1/18 Department of Financial and Professional

Regulation, Electronic Fund Transfers (38 Ill.

Adm. Code 315)

11/3/17

41 Ill. Reg.

13284

1/16/18

2/2/18 Department of Natural Resources, Raccoon,

Opossum, Striped Skunk, Red Fox, Gray Fox,

Coyote, Bobcat and Woodchuck (Groundhog)

Hunting (17 Ill. Adm. Code 550)

10/27/17

41 Ill. Reg.

13203

1/16/18

2/2/18 Department of Natural Resources, Muskrat,

Mink, Raccoon, Opossum, Striped Skunk,

Weasel, Red Fox, Gray Fox, Coyote, Badger,

River Otter, Beaver, Bobcat and Woodchuck

(Groundhog) Trapping (17 Ill. Adm. Code 570)

10/27/17

41 Ill. Reg.

13207

1/16/18

2/3/18 Department of Insurance, Long-Term Care

Insurance (50 Ill. Adm. Code 2012)

6/16/17

41 Ill. Reg.

6835

1/16/18


17

2/3/18 Department of Natural Resources, Crossbow

and Standing Vehicle Hunting Authorizations

(17 Ill. Adm. Code 760)

11/3/17

41 Ill. Reg.

13291

1/16/18


18


MICHAEL A. BILANDIC BUILDING

ROOM C600

CHICAGO, ILLINOIS

JANUARY 16, 2018

11:00 A.M.

NOTICE: It is the policy of the Committee to allow only representatives of State agencies to

testify orally on any rule under consideration at Committee hearings. If members of the public

wish to express their views with respect to a proposed rule, they should submit written comments

to the Office of the Joint Committee on Administrative Rules at the following address:

Joint Committee on Administrative Rules

700 Stratton Office Building


RULEMAKINGS SCHEDULED FOR JCAR REVIEW

The following rulemakings are scheduled for review at this meeting. JCAR staff may be proposing

action with respect to some of these rulemakings. JCAR members may have questions concerning,

and may initiate action with respect to, any item scheduled for JCAR review and any other issues

within the Committee's purview.

PROPOSED RULEMAKINGS

Community College Board

1. Administration of the Illinois Public Community College Act (23 Ill. Adm. Code 1501)

-First Notice Published: 41 Ill. Reg. 7721 - 7/7/17

-Expiration of Second Notice: 1/27/18

Education

2. Special Education Facilities under Section 14-7.02 of the School Code (23 Ill. Adm.

Code 401)

-First Notice Published: 41 Ill. Reg. 3831 – 3/31/17



18

3. Charter Schools (23 Ill. Adm. Code 650)



Financial and Professional Regulation

4. Electronic Fund Transfers (38 Ill. Adm. Code 315)



Gaming Board

5. Video Gaming (General) (11 Ill. Adm. Code 1800)



Healthcare and Family Services

6. Long Term Care Reimbursement Changes (89 Ill. Adm. Code 153)



Human Services

7. Child Care (89 Ill. Adm. Code 50)



Insurance

8. Long-Term Care Insurance (50 Ill. Adm. Code 2012)



Natural Resources


18

9. Raccoon, Opossum, Striped Skunk, Red Fox, Gray Fox, Coyote, Bobcat and Woodchuck

(Groundhog) Hunting (17 Ill. Adm. Code 550)



10. Muskrat, Mink, Raccoon, Opossum, Striped Skunk, Weasel, Red Fox, Gray Fox, Coyote,

Badger, River Otter, Beaver, Bobcat and Woodchuck (Groundhog) Trapping (17 Ill.

Adm. Code 570)



11. Crossbow and Standing Vehicle Hunting Authorizations (17 Ill. Adm. Code 760)



Public Health

12. HIVAIDS Confidentiality and Testing Code (77 Ill. Adm. Code 697)



Revenue

13. Retailers' Occupation Tax (86 Ill. Adm. Code 130)









Secretary of State

16. Issuance of Licenses (92 Ill. Adm. Code 1030)



18


Transportation

17. Hazardous Materials Transportation: General Information, Regulations and Definitions

(92 Ill. Adm. Code 171)

-First Notice Published: 41 Ill. Reg. 12964- 10/20/17


18. Hazardous Materials Table and Hazardous Materials Communications (92 Ill. Adm. Code

172)



19. Shippers General Requirements for Shipments and Packagings (92 Ill. Adm. Code 173)



20. Carriage by Public Highway (92 Ill. Adm. Code 177)



21. Specifications for Packagings (Repealer) (92 Ill. Adm. Code 178)



22. Specifications for Packagings (New Part) (92 Ill. Adm. Code 178)



23. Specifications for Tank Cars (92 Ill. Adm. Code 179)



24. Continuing Qualification and Maintenance of Packaging (92 Ill. Adm. Code 180)



EMERGENCY RULEMAKINGS


18

Revenue

25. Income Tax (86 Ill. Adm. Code 100)


Secretary of State

26. Lobbyist Registration and Reports (2 Ill. Adm. Code 560)


Transportation

27. Hours-of-Service of Drivers (92 Ill. Adm. Code 395)


AGENCY RESPONSE

Children and Family Services

28. Appeal of Child Abuse and Neglect Investigation Findings (89 Ill. Adm. Code 336)


-Response: Agree


18


JANUARY 2018 REGULATORY AGENDA

a) Part (Heading and Code Citation): Diversifying Higher Education Faculty in Illinois

Program, 23 Ill. Adm. Code 1080

1) Rulemaking:

A) Description: The Board may review this grant program in 2018. Findings

of the review may result in proposed amendments to the rules.

B) Statutory Authority: Diversifying Higher Education Faculty in Illinois

Act [110 ILCS 930].

C) Scheduled meeting/hearing dates: No meetings or hearings have been

scheduled.

D) Date Agency anticipates First Notice: Undetermined.

E) Effect on small businesses, small municipalities or not-for-profit

corporations: None.

F) Agency contact person for information:





217/557-7358


fax: 217/782-8548

G) Related rulemakings and other pertinent information: None.

b) Part (Heading and Code Citation): Data Repository, Data Sharing Agreement and Fees,

23 Ill. Adm. Code 910

1) Rulemaking:


18



A) Description: The IBHE may set fees to cover the cost of processing and

handling individual student-level data requests pursuant to an approved

data sharing agreement.

B) Statutory Authority: Section 9.36 of the Board of Higher Education Act

[110 ILCS 205/9.36].


scheduled.

D) Date Agency anticipates First Notice: January 2018.


corporations: None.






217/557-7358


fax: 217/782-8548


c) Part (Heading and Code Citations): Grow Your Own Teacher Grants, 23 Ill. Adm. Code

1085

1) Rulemaking:

A) Description: The Board may review this grant program in 2018. Findings

of the review may result in proposed amendments to the rules.


18



B) Statutory Authority: Section 90 of the Grow Your Own Teacher

Education Act [110 ILCS 48/90].


scheduled.

D) Date Agency anticipates First Notice: Undetermined.


corporations: Undetermined.






217/557-7358


fax: 217/782-8548



18



a) Part (Heading and Code Citations): Rules of the Capital Development Board (2 Ill. Adm.

Code 1650)

1) Rulemaking:

A) Description: Amendments are needed to remove obsolete Sections related

to the Public Building Fund. Other technical revisions may also be made.

B) Statutory Authority: Capital Development Board Act [20 ILCS 3105]

C) Scheduled meeting/hearing dates: No hearings or meetings have been

scheduled.

D) Date Agency anticipates First Notice: To be determined


corporations: None


Capital Development Board

Attn: Lauren Noll

401 S. Spring Street

Stratton Building, 3rd Floor


217/782-0700

fax: 217/524-0565

G) Related rulemakings and other pertinent information: None

b) Part (Heading and Code Citations): Organization, Rulemaking and Public Information (2

Ill. Adm. Code 2650)

1) Rulemaking:

A) Description: The Agency will propose to repeal this outdated regulation.


18



B) Statutory Authority: Asbestos Abatement Authority Act [20 ILCS 3120]


scheduled.



corporations: None



Attn: Lauren Noll




217/782-0700

fax: 217/524-0565


c) Part (Heading and Code Citations): Board Action (71 Ill. Adm. Code 10)

1) Rulemaking:

A) Description: This Part will be generally updated and Sections on public

comments and informal recording of open meetings will be added.



scheduled.



18




corporations: None



Attn: Lauren Noll




217/782-0700

fax: 217/524-0565


d) Part (Heading and Code Citations): Trust Agreements – Using Educational Agencies (71

Ill. Adm. Code 30)

1) Rulemaking:

A) Description: This Part will be revised to limit the definition of "using

educational agencies" to community colleges and to update the types of

securities in which a bank involved in a trust agreement under this Part

may invest.



scheduled.



corporations: This may affect a bank if it qualifies as a small business and

is involved in trust agreements pursuant to this Part.


18





Attn: Lauren Noll




217/782-0700

fax: 217/524-0565


e) Part (Heading and Code Citations): Illinois Accessibility Code (71 Ill. Adm. Code 400)

1) Rulemaking:

A) Description: This Part is being revised to incorporate, when more

stringent, the 2010 ADA Standards for Accessible Design (28 CFR Parts

35 and 36).

B) Statutory Authority: Environmental Barriers Act [410 ILCS 25]


scheduled.



corporations: Designers, contractors and code officials would benefit

from more streamlined code requirements for accessibility in construction.



Attn: Felicia Burton


18






217/782-8530

fax: 217/524-4208


f) Part (Heading and Code Citations): Illinois Energy Conservation Code (71 Ill. Adm.

Code 600)

1) Rulemaking:

A) Description: This part will be revised to implement the 2018 International

Energy Conservation Code as the Illinois Energy Conservation Code.

This Part currently implements the 2015 International Energy

Conservation Code. It also allows for Illinois-specific amendments to the

Code.

B) Statutory Authority: (20 ILCS 3125/) Energy Efficient Building Act

C) Scheduled meeting/hearing dates: The Illinois Energy Conservation

Advisory Council hears and makes recommendations on proposed

amendments to the Code. A comment period for this proposed

amendment will be open between January 1 and March 31, 2018. There

will be several meetings through the Code amendment process. The first

meeting is scheduled for January 10, 2018.



corporations: Those that are constructing, renovating or adding to

commercial and residential building structures or issuing build permit

applications.



18




Attn: Lisa Mattingly




217/524-6408

fax: 217/524-4208



18


COUNCIL OF ILLINOIS


a) Part (Heading and Code Citation): General Program (35 Ill. Adm. Code 1500)

1) Rulemaking:

A) Description: 35 Ill. Adm. Code 1500.50 contains the Fund's general

program rules related to insurance program requirements. The Council

will be amending these regulations to define the operational and reporting

requirements of a Council approved compliance program.

B) Statutory Authority: Implementing and authorized by Section 20 of the

Drycleaner Environmental Response Trust Fund Act [415 ILSC

135/20(a)].

C) Scheduled meeting/hearing dates: Public hearings are not required to

prescribe the compliance program requirements.

D) Date Agency anticipates First Notice: The Council anticipates First

Notice publication of the proposed rules in the Illinois Register in May of

2018.


corporations: Four hundred eighteen (418) active drycleaning facilities

which are insured by the Fund Council are subject to participation in a

Council approved compliance program. There should be no effect on these

drycleaning facilities. There should be no effect on small municipalities or

not-for profit corporations.


H. Patrick Eriksen

Drycleaner Environmental Response Trust Fund Council

PO Box 480

Bensenville IL 60106-0480

630/741-0022

[email protected]

fax: 630/741-0026


18


COUNCIL OF ILLINOIS


G) Related rulemakings and other pertinent information: There are no other

related rulemakings.


18

ENVIRONMENTAL PROTECTION AGENCY


a) Part (Heading and Code Citation): Procedures for Issuing Loans from the Water

Pollution Control Loan Program (35 Ill. Adm. Code 365)

1) Rulemaking:

A) Description: The Illinois Environmental Protection Agency (Agency)

plans to update the rules for scoring and prioritizing loan applicants for the

Water Pollution Control Loan Program. The Agency plans to consolidate

and amend into 35 Ill. Adm. Code 365 the scoring rules from 35 Ill. Adm.

Code 366, Procedures and Requirements for Determining Loan Priorities

for Municipal Wastewater Treatment Works.

B) Statutory Authority: Implementing and authorized by Sections 19.1

through 19.10 of the Illinois Environmental Protection Act. [415 ILCS

19.1 - 19.10].

C) Scheduled meeting/hearing dates: The Agency has not yet scheduled

meetings or hearings on this proposal.

D) Date Agency anticipates First Notice: Spring/Summer 2018

E) Effect on small business, small municipalities or not-for-profit

corporations: Small businesses, small municipalities, or not-for-profit

corporations seeking loans under the Water Pollution Control Loan

Program could be affected by this rulemaking.

F) Agency contact person for information: Address written comments

concerning the substance of the rulemaking as follows:

Stephanie Flowers

Division of Legal Counsel

Illinois Environmental Protection Agency

1021 North Grand Avenue East

P.O. Box 19276


217/782-5544

[email protected]


18



G) Related rulemakings and other pertinent information: This rulemaking

will be in conjunction with the repeal of 35 Ill. Adm. Code 366,

Procedures and Requirements for Determining Loan Priorities for

Municipal Wastewater Treatment Works.

b) Part (Heading and Code Citation): Procedures and Requirements for Determining Loan

Priorities for Municipal Wastewater Treatment Works, (35 Ill. Adm. Code 366)

1) Rulemaking:

A) Description: The Illinois Environmental Protection Agency (Agency) is

repealing Part 366. The regulations are being incorporated into 35 Ill.

Adm. Code 365, Procedures for Issuing Loans from the Water Pollution

Control Loan Program.



19.1 - 19.10].





corporations: Small businesses, small municipalities, or not for profit

corporations seeking loans under the Water Pollution Control Loan

Program could be affected by this rulemaking.



Stephanie Flowers




P.O. Box 19276



18



217/782-5544

[email protected]

G) Related rulemakings and other pertinent information: This rulemaking is

in conjunction with amendments to 35 Ill. Adm. Code 365, Procedures for

Issuing Loans from the Water Pollution Control Loan Program.

c) Part (Heading and Code Citation): Guidelines for Notification of Restricted Status or

Critical Review Pursuant to 35 Ill. Adm. Code 306.105 (35 Ill. Adm. Code 392)

1) Rulemaking:

A) Description: Part 392 sets forth guidelines for notification by the Agency

to sanitary districts and other wastewater treatment or transportations

authorities of restricted status and critical review. The Agency is

proposing to add the requirements found in Part 392 into Part 306 of the

Illinois Pollution Control Board's (Board) rules because most of Part 392

is duplicative of Part 306. From a regulated entities perspective, it is

burdensome to have to read two different parts, promulgated by two

different agencies, to understand how restrictive status and critical review

status list are determined. The proposed change involves a two-step

process. First, the Board must amend Part 306 to include the Agency's

determination criteria for restrictive status and critical review, and second

the Agency will repeal Part 392.

B) Statutory Authority: Section 39 of the Environmental Protection Act [415

ILCS 5/39]




E) Effect on small business, small municipalities, or not-for-profit

corporations: The Agency does not anticipate a negative impact as a result

of the repeal of 35 Ill. Adm. Code 392.




18



Sara G. Terranova




P.O. Box 19276


217/782-5544

[email protected]

G) Related rulemakings and other pertinent information: The proposed

change involves a two-step process. First, the Board must amend Part 306

to include the Agency's determination criteria for restrictive status and

critical review, and second the Agency will repeal Part 392.

d) Part (Heading and Code Citation): Procedures for Issuing Loans from the Public Water

Supply Loan Program (35 Ill. Adm. Code 662)

1) Rulemaking:

A) Description: The Illinois Environmental Protection Agency (Agency)

plans to update the rules for scoring and prioritizing loan applicants for the

Public Water Supply Loan Program. The Agency plans to consolidate and

amend into 35 Ill. Adm. Code 662 the scoring rules from 35 Ill. Adm.

Code 663, Procedures and Requirements for Determining Loan Priorities

of Projects in the Public Water Supply Loan Program.



19.1 - 19.10].







18



corporations seeking loans under the Public Water Supply Loan Program

could be affected by this rulemaking.



Stephanie Flowers




P.O. Box 19276


217/782-5544

[email protected]

G) Related rulemakings and other pertinent information: This rulemaking

will be in conjunction with the repeal of 35 Ill. Adm. Code 663,

Procedures and Requirements for Determining Loan Priorities of Projects

in the Public Water Supply Loan Program.

e) Part (Heading and Code Citation): Procedures and Requirements for Determining Loan

Priorities of Projects in the Public Water Supply Loan Program (35 Ill. Adm. Code 663)

1) Rulemaking:

A) Description: The Illinois EPA is repealing Part 663. The regulations are

being incorporated into 35 Ill. Adm. Code 662, Procedures for Issuing

Loans from the Public Water Supply Loan Program.



19.1 - 19.10].





18





corporations seeking loans under the Public Water Supply Loan Program

could be affected by this rulemaking.



Stephanie Flowers




P.O. Box 19276


217/782-5544

[email protected]

G) Related rulemakings and other pertinent information: This rulemaking is

in conjunction with amendments to 35 Ill. Adm. Code 662, Procedures for

Issuing Loans from the Public Water Supply Loan Program.


18



a) Part (Heading and Code Citation): Fire Prevention and Safety (41 Ill. Adm. Code 100)

1) Rulemaking:

A) Description: Pursuant to the Fire Investigation Act [425 ILCS 25/9], this

rulemaking promulgates rules necessary to protect the public from the

dangers of fire, structural collapse and insufficient means of egress in an

emergency, by updating referenced NFPA 101 (2000) to the 2015 edition.


Fire Investigation Act [425 ILCS 25/9].

C) Scheduled meeting/hearing dates: None are scheduled at this time, though

outreach efforts are anticipated.

D) Date Agency anticipates First Notice: Unknown


corporations: All new and existing small business or not-for-profit

corporations with a covered occupancy must comply with the applicable

requirements of NFPA 101. Small municipalities must also make sure that

any covered occupancy within their jurisdiction is in compliance with

NFPA 101. This exempts one- and two-family homes and public schools,

although Chicago public schools do not fall within the exemption based on

Illinois State Board of Education (ISBE) regulations. These proposed

rules would provide better and safer regulations that can be complied with

sometimes in a less expensive or more cost efficient manner.


Cathy Stashak

Technical Services Division

Office of the State Fire Marshal

100 W. Randolph St., Suite 4-600

Chicago IL 60601

312/814-2425



18



b) Part (Heading and Code Citation): Fire Drills in Schools (41 Ill. Adm. Code 110)

1) Rulemaking:

A) Description: This rulemaking will repeal outdated regulations on fire

drills in schools. These rules were adopted under the authority of "An Act

relating to school fire drills" [Ill. Rev. Stat. 1979, ch. 122, par. 842] which

has been repealed and superseded by the School Safety Drill Act [105

ILCS 128]. Rules to implement the School Safety Drill Act were adopted

in 2006 as joint rules of the Office of the State Fire Marshal and the

Illinois State Board of Education at 29 Ill. Adm. Code Part 1500.

B) Statutory Authority: Authorized by Section 2 of "An act relating to school

fire drills" [Ill. Rev. Stat. 1979, ch. 122, par. 842] and the School Safety

Drill Act [105 ILCS 128].



D) Date Agency anticipates First Notice: Winter or Spring 2018


corporations: This rulemaking will not impact any small businesses.

There should be no impact on small schools districts as they will continue

to be subject to the requirements of the School Safety Drill Act [105 ILCS

128] and its implementing regulations.


Dale Simpson

Manager

Division of Fire Prevention


1035 Stevenson Drive


217/558-0639


18




c) Part (Heading and Code Citation): Policy and Procedures Manual for Fire

Protection Personnel (41 Ill. Adm. Code 141)

1) Rulemaking:

A) Description: A third phase of amendments to this Part will focus on

updates to Subpart B (Training Facilities) and Subpart C (Examination).

This proposal will also include any updates to certifications approved by

the certification subcommittees established by the Fire Advisory

Commission and any corrections or clarifications needed for certification

requirements in Subpart D.

B) Statutory Authority: Implementing and authorized by Sections 8 and 11 of

the Fire Protection Training Act [50 ILCS 740/8] and the Peace Officer Fire

Investigation Act [20 ILCS 2910].

C) Scheduled meeting/hearing dates: None Scheduled.



corporations: This rulemaking may impact small municipalities or fire

protection districts that elect to participate in the Office of the State Fire

Marshal’s voluntary certification program and seek reimbursement for

training expenditures from funds appropriated to the Office for these

reimbursements. Streamlined procedural rules are expected to speed the

curriculum approval time and decrease administrative burdens on

participants.


Mitzi Woodson

Manager

Division of Personnel Standards and Education





18



217/785-1003

G) Related rulemakings and other pertinent information: The

first phase of amendments to this Part was published for

First Notice on April 1, 2016 (40 Ill. Reg. 5366), received a

Certification of No Objection from JCAR and was adopted,

effective March 27, 2017. The second phase was published

for First Notice on November 18, 2016 (40 Ill. Reg.

15482), received a Certification of No Objection from

JCAR and was adopted, effective August 1, 2017.

d) Part (Heading and Code Citation): Permanently Moored Vessel Fire Prevention and

Safety (41 Ill. Adm. Code 149)

1) Rulemaking:

A) Description: This rulemaking would take OSFM rules on safety for

permanently moored vessels (PMVs) that are currently contained within

41 Ill. Adm. Code 100.7(b)(5) and move them into a new Part (149). The

rulemaking would also update referenced standards that are identified in

current Section 100.7(b)(5), including updating NFPA 101 (2000) to the

2015 edition.


Fire Investigation Act [425 ILCS 25/9].





corporations: This Part would be applicable to all new and existing

occupiable permanently moored vessels in the State. Currently, all new

and existing small business or not-for-profit corporations with a covered

occupancy must comply with the applicable requirements of NFPA 101.

Small municipalities must also make sure that the permanently moored

vessels within their jurisdiction are in compliance with NFPA 101. These


18



proposed rules would provide better and safer regulations that can be

complied with sometimes in a less expensive or more cost efficient

manner.


Cathy Stashak




Chicago IL 60601

312/814-2425


e) Parts (Heading and Code Citations): Storage, Transportation, Sale and Use of Gasoline

and Volatile Oils: Rules and Regulations\ Relating to General Storage (41 Ill. Adm.

Code 160); Storage, Transportation, Sale and Use of Gasoline and Volatile Oils (41 Ill.

Adm. Code 180)

1) Rulemaking:

A) Description: This rulemaking will update the agency's rules applicable to

aboveground storage tanks (ASTs). This includes two primary rule Parts:

41 Ill. Adm. Code 160 and 41 Ill. Adm. Code 180 that are applicable to

ASTs used for both dispensing and non-dispensing purposes. Part 160

rules primarily address the use of ASTs for bulk storage of flammable or

combustible liquids (storage for other than dispensing purposes). Part 180

rules primarily address the use of ASTs for flammable or combustible

liquids used to dispense fuel into vehicles or portable containers. The

primary focus of the rules will be to replace the currently outdated rules

with references to nationally recognized standards for ASTs and the

storage and handling of flammable and combustible liquids.


Gasoline Storage Act [430 ILCS 15/2].


18







corporations: The rules will impact any small business, municipality or

not-for-profit corporations that install or relocate an AST containing

flammable or combustible liquids. The proposed rules are not anticipated

to impose further restrictions upon ASTs that are already in-place. It is

estimated these changes will make the storage and handling of flammable

and combustible liquids, including ASTs, less expensive, more cost

effective and safer.


Cathy Stashak




Chicago IL 60601

312/814-2425


changes to 41 Ill. Adm. Code 160 are related to the proposed changes to

41 Ill. Adm. Code 180.

f) Parts (Heading and Code Citations): Storage, Transportation, Sale and Use of Gasoline

and Volatile Oils: Rules and Regulations\ Relating to General Storage (41 Ill. Adm.

Code 160); Storage, Transportation, Sale and Use of Gasoline and Volatile Oils (41 Ill.

Adm. Code 180)

1) Rulemaking:

A) Description: This rulemaking may be filed separately from the one

described in paragraph (e) above and will amend the agency's rules

applicable to aboveground storage tanks (ASTs) in two primary rule Parts:

41 Ill. Adm. Code 160 and 41 Ill. Adm. Code 180. The primary focus of


18



the rulemaking will be to amend the provisions pertaining to the maximum

number of storage or dispensing ASTs and maximum allowable capacity

for storage or dispensing ASTs at facilities used for fleet dispensing as

described in Section 180.20(a)(2).


Gasoline Storage Act [430 ILCS 15/2].



D) Date Agency anticipates First Notice: 2018



not-for-profit corporations that install or relocate an AST containing

flammable or combustible liquids. The proposed rules are not expected to

create more stringent restrictions upon ASTs. It is estimated that these

changes will make the dispensing of flammable and combustible liquids

using ASTs less expensive, more cost effective and safer.


Cathy Stashak




Chicago IL 60601

312/814-2425


changes to 41 Ill. Adm. Code 160 are related to the proposed changes to

41 Ill. Adm. Code 180.

g) Part (Heading and Code Citation): Petroleum Equipment Contractor

Licensing (41 Ill. Adm. Code 172)

1) Rulemaking:


18



A) Description: This rulemaking will update certification and licensure rules

for petroleum equipment contractors doing work on underground storage

tanks as a result of changes to the program made by PA 97-428. The

rulemaking will address inconsistencies between the rules and the statute

raised in internal audit findings. It will also update cross-references to

OSFM rules for which the numbering has changed from Part 170 to Parts

174, 175 and 176.

B) Statutory Authority: Petroleum Equipment Contractor Licensing Act

[225 ILCS 729/25, 35(a)(4), and 35(b)(7)]

C) Scheduled meeting/hearing dates: None scheduled yet.



corporations: This rulemaking with have a minimal impact on small

businesses that conduct permitted work on underground storage tanks.


Fred Schneller

Manager

Division of Petroleum and Chemical Safety




217/557-3131


h) Parts (Heading and Code Citations): General Requirements for Underground Storage

Tanks and the Storage, Transportation, Sale and Use of Petroleum and Other Regulated

Substances (41 Ill. Adm. Code 174); Technical Requirements for Underground Storage

Tanks and the Storage, Transportation, Sale and Use of Petroleum and Other Regulated

Substances (41 Ill. Adm. Code 175); Administrative Requirements for Underground


18



Storage Tanks and the Storage, Transportation, Sale and Use of Petroleum and Other

Regulated Substances (41 Ill. Adm. Code 176)

1) Rulemaking:

A) Description: This rulemaking will revise the Illinois technical

requirements for underground storage tank systems ("USTs") to conform

to new federal regulatory requirements that became effective on October

13, 2015. These changes would include requiring federally acceptable

proofs of compatibility for underground storage tanks, piping and all

related system components whenever such systems store or dispense

ethanol blends above 10% ethanol (E10) for gasoline or above 20%

biodiesel (B20) for diesel. Federally required changes will also include

monthly walkthrough inspections by Certified Operators, tightness testing

of spill buckets and piping containments every three years, inspection of

overfill prevention equipment every three years, prohibition of ball float

vent valves at time of installation or replacement, full regulation of airport

hydrant fueling systems, and full regulation of field constructed tanks.

This rulemaking will also update these rules to incorporate and streamline

current practices, including the electronic submission of reporting forms

and permit applications. This rulemaking will also address an unsafe

product piping set-up caused when formerly separate regular, midgrade

and premium gasoline product piping lines are installed so that two

products are mixed at the dispenser to create the midgrade product. When

done incorrectly, this piping set-up may lead to an open pipe end and the

release of product if the dispenser is struck by a vehicle and the piping is

broken.

B) Statutory Authority: Section 2 of the Gasoline Storage Act [430 ILCS

15/2]




E) Effect on small businesses, small municipalities or not for profit

corporations: Some of the federal requirements will increase costs of UST

operation. Other federal requirements will have no fiscal impact on


18



owners and operators of USTs. Other federal requirements have been

previously implemented. (Examples: Operator Training, double-wall

design requirements, leak detection for emergency power generator USTs,

replacement of tanks failing their internal lining inspection, various

aspects of annual leak detection testing, and requirements for under-

dispenser containment sumps.) Other changes will decrease costs and

increase the flexibility and convenience of compliance, for example,

streamlining forms and implementing electronic submission of reporting

forms and permit applications. Allowing new third-party (UL) listed tank

replacement technologies is likely to reduce costs when a tank fails.

These last two items will likely help those small businesses, small

municipalities and not-for-profit entities that own and operate

underground storage tanks.


Fred Schneller




217/557-3131


i) Part (Heading and Code Citation): Storage, Transportation, Sale and Use of Liquefied

Petroleum Gas (41 Ill. Adm. Code 200)

1) Rulemaking:

A) Description: This rulemaking will update the agency's rules applicable to

liquefied petroleum gas (LPG) tanks. The primary focus of the rules will be

to update the reference to a national standard: NFPA 58 Liquefied

Petroleum Gas Code. The rule currently references to the 2011 edition of

NFPA 58 and the OSFM intends to update that reference to the latest

published edition of NFPA 58 (2017 edition) in order to remain current with

industry practices. The statute requires that OSFM rules on this topic be in

substantial conformity with the national codes published by the National

Fire Protection Association (NFPA).


18



B) Statutory Authority: Liquefied Petroleum Gas Regulation Act [430 ILCS

5/3]

C) Scheduled meeting/hearing dates: None scheduled.




not-for-profit corporation that installs or relocates a LPG (including

propane) storage tank. The proposed rules are not anticipated to impose

further restrictions upon existing LPG tanks.


Cathy Stashak




Chicago IL 60601

312/814-2425


j) Part (Heading and Code Citation): Appeals and Enforcement Proceedings (41 Ill. Adm.

Code 210)

1) Rulemaking:

A) Description: This Part will be amended to delineate and clarify the appeal

process utilized during certain OSFM administrative enforcement

proceedings. Amendments will include, among other things, clarification

concerning the duties of the respective parties, the initiation of contested

hearings, pleadings, motions, discovery, the burden and standard of proof,

the applicable rules of evidence, the consequences of failing to appear, and

default procedures.


18



B) Statutory Authority: Implemented and authorized by Section 10-5 of the

Illinois Administrative Procedures Act [5 ILCS 100/10-5].





corporations: None Anticipated.


Matt Taksin

General Counsel-Legal Division




312/814-6322


k) Part (Heading and Code Citation): Pyrotechnic Distributor and Operator

Licensing Rules (41 Ill. Adm. Code 230)

1) Rulemaking:

A) Description: This rulemaking will update referenced industry technical

standards and incorporate recent federal requirements relating to OSFM

Pyrotechnic Distributor and Operator Licensing Rules. It will also update

or delete references to the Music Entertainment Task Force because its

work has concluded. It will also develop an expedited licensing protocol

for out-of-state production companies with an appropriate fee schedule

and require cover license operators to identify out-of-state touring

pyrotechnic participants on the display report that summarizes the

pyrotechnic event. This will also require that distributors identify certain

business information on the regulatory application, for example, any


18



assumed name being used as well as the full legal name for the legal entity

submitting the application. Finally, this will add a fee of $30 per

pyrotechnic assistant at time of registration renewal (every three years).

B) Statutory Authority: Implemented and authorized by Section 30 of

Pyrotechnic Distributor and Operator Licensing Act [225 ILCS 227/30].




corporations: A new fee ($30) would be required for an assistant's

registration renewal. Other aspects of the rules may impact any small

business, municipality or not for profit corporation that possesses or

applies for a State Pyrotechnic license.


Dale Simpson

Manager





217/558-0639


l) Part (Heading and Code Citation): Pyrotechnic and Consumer Display

Permitting Rules (41 Ill. Adm. Code 235)

1) Rulemaking:

A) Description: This rulemaking will update referenced industry technical

standards and incorporate recent federal requirements relating to OSFM

Pyrotechnic Distributor and Operator Licensing Rules. It will also require

local permitting authorities to maintain certain minimum records.


18



B) Statutory Authority: Implementing and authorized by Section 4.1 of the

Fireworks Use Act [425 ILCS 35/5].




corporations: The rules may impact any small business, municipality or

not for profit corporation that possesses or applies for a Pyrotechnic or

Consumer Display permit.


Dale Simpson

Manager





217/558-0639

G) Related rulemakings and other pertinent information: Proposed revisions

to 41 Ill. Adm. Code 230's requirements for Flame Effect Licensure and

Permit requirements.

m) Parts (Heading and Code Citations): Fire Equipment Distributor and Employee

Standards (41 Ill. Adm. Code 251); Fire Equipment Administrative Procedures (41 Ill.

Adm. Code 280)

1) Rulemaking:

A) Description: This proposed rulemaking will update the OSFM's rules

applicable to fire equipment distributor and employee licensing, and will

consider combining the Part 251 and Part 280 rules into one document to

address procedures for administering the fire equipment contractor and

employee licensing programs. This proposed rulemaking will require a


18



photo or electronic copy of a driver's license or State identification for

each employee being licensed. This proposed rulemaking will update rule

references to cite the updated statutory authority which is now known as

the Fire Equipment Distributor and Employee Regulation Act of 2011

[225 ILCS 217]. This proposed rulemaking will also define the

procedures for the citation authority provided in Section 83 of this Act

[225 ILCS 217/83]. Finally, this rulemaking will implement statutory

changes that eliminated the Fire Equipment Distributor and Employee

Advisory Board and divided Class II employees into separate classes for

pre-engineered industrial fire suppression systems versus kitchen hood fire

suppression systems.

B) Statutory Authority: Implementing and authorized by the Fire Equipment

Distributor and Employee Regulation Act of 2011 [225 ILCS 217].

C) Scheduled meeting/hearing dates: The agency has not yet scheduled




corporations: The rules may impact any small business, small

municipality or not for profit corporation that may be licensed by the

OSFM as a fire equipment distributor or may be involved in the servicing

of portable fire extinguishers and/or fixed fire suppression systems other

than water-based systems. By clarifying standards and procedures and

providing an enforcement mechanism authorized by statute, this will make

compliance simpler and more efficient and reliable for the regulated

community, including small businesses, small municipalities, and not-for-

profit entities. Fire equipment companies will need to ensure their

employees have the correct National Association of Fire Equipment

Distributors (NAFED) certification to work on and service these systems,

and the correct National Institute for Certification in Engineering

Technologies (NICET) certification to design the appropriate systems.


Dale Simpson

Manager


18







217/558-0639


n) Part (Heading and Code Citation): Ambulance Revolving Loan Program (41 Ill.

Adm. Code 292)

1) Rulemaking:

A) Description: The Office of the Illinois State Fire Marshal (OSFM) and the

Illinois Finance Authority (IFA) have authority to jointly administer a

program to provide loans for the purchase of an ambulance or ambulances

by a not-for-profit ambulance service or a unit of local government (fire

department, fire protection district or township fire department) in Illinois

that provides emergency medical service within a geographical area. This

rulemaking would increase the maximum loan amount from $100,000 to

$200,000 for a recipient, per the terms of Public Act 100-152 (which

increased the maximum amount to $200,000, effective January 1, 2018).

B) Statutory Authority: Implementing and authorized by the Illinois Finance

Authority Act, Ambulance Revolving Loan Program [20 ILCS 3501/825-

85].

C) Scheduled meeting/hearing dates: None



corporations: This program provides no interest and low-interest loans for

the purchase of ambulances. Fire departments, fire protection districts,

township fire departments and not-for-profit ambulance services would

benefit from being able to borrow additional funds at no or low interest

rates. Loan awards are based on equipment need, financial need, and how

recently the applicant has received a previous loan under this program.


18



Effective January 1, 2018, recipients may be eligible for a loan up to

$200,000 with up to a maximum 10-year repayment period for the

purchase of an ambulance.


Ronny J. Wickenhauser

Chief Fiscal Officer

Office of the Illinois State Fire Marshal



217/558-0577


o) Part (Heading and Code Citation): Furniture Fire Safety Regulations (41 Ill. Adm. Code

300)

1) Rulemaking:

A) Description: As required by statute [425 ILCS 45], this rulemaking will

update referenced standards to the current "bulletins" (standards) used by

the State of California’s Department of Consumer Affairs: Bureau of Home

Furnishings and Thermal Insulation for descriptions of the tests that are

required to be performed on upholstered furniture components.


Furniture Fire Safety Act [425 ILCS 45/15].



D) Date agency anticipates First Notice: Unknown


corporations: Any small business or not-for-profit corporation that

manufactures upholstered seating furniture used in public occupancies or

public assembly areas, or any small business, small municipality or not-


18



for-profit that owns or maintains a public occupancy or public assembly

area that contains stuffed or upholstered furniture for specified

occupancies. These include assembly occupancies; day care centers;

health care occupancies; detention and correctional facilities; and public

assembly areas of hotel and motels that contain seating for more than 10

(individual guest rooms are not included). These proposed rules are not

anticipated to impose further restriction upon regulated furniture.


Cathy Stashak




Chicago IL 60601

312/814-2425


p) Part (Heading and Code Citation): Illinois Elevator Safety Rules (41 Ill. Adm.

Code 1000)

1) Rulemaking:

A) Description: Incorporate nationally recognized safety codes which were

recently published. Pursuant to statute, the Elevator Safety Board is given

12 months after the effective date of a new standard to adopt any new safety

code cited in the statute.

B) Statutory Authority: Authorized by Section 35 of the Elevator Safety and

Regulation Act [225 ILCS 312/35].





18



E) Effect on small businesses, small municipalities or not for profit

corporations: All new conveyances and conveyances being modernized

will be required to conform to the new codes. Municipalities would also

be required to enforce these new codes locally, per their municipal

elevator agreements with OSFM.


Bob Capuani

Elevator Safety Division

Office of the Illinois State Fire Marshal

James R. Thompson Center

100 W. Randolph Street

Suite 4-600

Chicago IL 60601

312/814-8734


q) Part (Heading and Code Citation): Boiler and Pressure Vessel Safety (41

Ill. Adm. Code 2120)

1) Rulemaking:

A) Description: Incorporate nationally recognized safety codes which were

recently published and are required by the Boiler and Pressure Vessel

Safety Act to be incorporated into the rules promulgated under that Act.

B) Statutory Authority: Section 2 of the Boiler and Pressure Vessel Safety

Act [430 ILCS 75/2]




corporations: No significant impact anticipated.


18




Mike Vogel

Chief Inspector

Division of Boiler and Pressure Vessel Safety




217/785-1008



18



a) Part (Heading and Code Citation): Rules of Practice in Administrative Hearings (74 Ill.

Adm. Code 730)

1) Rulemaking:

A) Description: This rulemaking will provide guidance to interested parties

on administrative hearings conducted by the State Treasurer that are not

specifically provided for under any other Section of the Illinois

Administrative Code.

B) Statutory Authority: Illinois Administrative Procedure Act [5 ILCS

100/5-10]


D) Date Agency anticipates First Notice: January 2018

E Effect on small businesses, small municipalities or not-for-profit

corporations: None


G. Allen Mayer

General Counsel

Illinois State Treasurer

219 State House


217/557-2673

fax: 217/785-2777

e-mail: [email protected]


b) Part (Heading and Code Citation): Uniform Disposition of Unclaimed Property Act (74

Ill. Adm. Code 760)

1) Rulemaking:


18



A) Description: Public Act 100-22, effective January 1, 2018, repealed the

Uniform Disposition of Unclaimed Property Act and replaced it with the

Revised Uniform Unclaimed Property Act (RUUPA). The RUUPA is the

first comprehensive revision of Illinois' unclaimed property statute since

the Uniform Disposition of Unclaimed Property Act was passed in 1961.

This rulemaking will repeal the existing Uniform Disposition of

Unclaimed Property Act rule and replace it with the Revised Uniform

Unclaimed Property Act rule in the same Part.

B) Statutory Authority: Section 15-104 of the Revised Uniform Unclaimed

Property Act [765 ILCS 1026/15-104] in Public Act 100-22 specifically

authorizes the State Treasurer to adopt rules to implement and administer

the Act. Public Act 100-22 also repeals the Uniform Disposition of

Unclaimed Property Act, thus necessitating the repeal of the

administrative rules related to the previous unclaimed property statute.


D) Date Agency anticipates First Notice: February 2018

E Effect on small businesses, small municipalities or not-for-profit

corporations: Public Act 100-22 reduced the period of abandonment for

many types of unclaimed property from 5 years to 3 years. Public Act

100-22 also raised the threshold for due diligence mailings from $10 to

$50, which should reduce compliance costs for small businesses, small

municipalities or not for profit corporations. Public Act 100-22 also added

new statutory due process provisions for holders of unclaimed property

that are undergoing an examination for compliance with the Revised

Uniform Unclaimed Property Act. Numerous other technical changes in

unclaimed property reporting are required pursuant to Public Act 100-22.


G. Allen Mayer

General Counsel


219 State House



18



217/557-2673

fax: 217/785-2777



c) Part (Heading and Code Citation): Secure Choice Savings Program (74 Ill. Adm. Code

721)

1) Rulemaking:

A) Description: The Secure Choice Savings Program Act (820 ILCS 80)

establishes a retirement savings program to be administered by the Secure

Choice Savings Board for the purpose of providing retirement savings

options to 1.2 million private-sector employees in Illinois. The Act

provides for implementation of the Program to begin in 2018. The rules

adopted in this Part will provide clarification for the implementation and

administration of the program by the Treasurer's Office and the Secure

Choice Savings Board.

B) Statutory Authority: Illinois Secure Choice Savings Program Act [820

ILCS 80/90]


D) Date Agency anticipates First Notice: February 2018


corporations: Secure Choice applies to businesses that have 25 or more

employees, have been in operation for two years or more, and do not offer

a qualified savings plan to their employees. Not-for-profits that meet those

three criteria are also included. Municipalities will not be impacted.

Businesses and not-for-profits that participate in Secure Choice will be

required to facilitate the payroll deduction in the program for each of their

employees, but will not have any managerial responsibilities and cannot

contribute to the retirement program or individual employee accounts.



18



Sandi Raphael

Deputy General Counsel


100 W. Randolph Street, Suite 15-600

Chicago IL 60601

312/814-2985

fax: 217/785-2777



d) Part (Heading and Code Citation): Illinois Public Treasurers' Investment Pool for Public

Treasurers in the State of Illinois (74 Ill. Adm. Code 740)

1) Rulemaking:

A) Description: This rulemaking updates the existing rule and provides

further guidance on the process for State and local governments to utilize

this convenient investment pool option, including the Treasurer's

responsibilities, the custodian bank's responsibilities, and the enrollment

process.

B) Statutory Authority: Section 17 of the State Treasurer Act [15 ILCS

505/17]


D) Date Agency anticipates First Notice: April 2018


corporations: None


Sandi Raphael

Deputy General Counsel


100 W. Randolph Street, Suite 15-600


18



Chicago IL 60601

312/814-2985

fax: 217/785-2777



e) Part (Heading and Code Citation): Procurement (44 Ill. Adm. Code 1400)

1) Rulemaking:

A) Description: This rulemaking updates the existing rule to adopt the small

purchase limit of $100,000 included in Public Act 100-43, effective

August 9, 2017. Additionally, professional and artistic contracts are

brought into the same small purchase limit and are no longer held to a

separate limit.

B) Statutory Authority:


D) Date agency anticipates First Notice: April 2018


corporations: None


Chris Flynn

Assistant General Counsel


400 W. Monroe St., Suite 401


217/558/0115

fax: 217/785-2777



18





18

ILLINOIS STUDENT ASSISTANCE COMMISSION


a) Part (Heading and Code Citations): Illinois Veteran Grant (IVG) Program (23 Ill. Adm.

Code 2733)

1) Rulemaking:

A) Description: This Part is being revised to more clearly describe the annual

establishment of priority claim dates by term, including the time periods

within which the dates will fall, and the announcement of those dates to

institutions.

B) Statutory Authority: Implementing Section 40 and authorized by Section

20(f) of the Higher Education Student Assistance Act [110 ILCS 947/40

and 20(f)].

C) Scheduled meeting/hearing dates: At this time, ISAC has not scheduled a

hearing or a meeting specifically to solicit comments on this anticipated

rulemaking. Nonetheless, members of the public may submit views or

comments in writing to the individual identified in item F, below.



corporations: None


Lynn Hynes

Agency Rules Coordinator

Illinois Student Assistance Commission

1755 Lake Cook Road

Deerfield IL 60015

847/948-8500, ext. 18032



b) Part (Heading and Code Citations): Police Training Academy Job Training Scholarship

Program (23 lll. Adm. Code 2744)


18



1) Rulemaking:

A) Description: ISAC is adding this Part in response to the creation of a new

program resulting from legislation during the spring, 2017 session of the

Illinois General Assembly (PA 100-331).

B) Statutory Authority: Implementing and authorized by Section 65.95 of the

Higher Education Student Assistance Act [110 ILCS 947/65.95].







corporations: None


Lynn Hynes



1755 Lake Cook Road

Deerfield IL 60015

847/948-8500, ext. 18032



c) Part (Heading and Code Citations): Minority Teachers of Illinois (MTI) Scholarship

Program (23 Ill. Adm. Code 2763)

1) Rulemaking:


18



A) Description: This Part is being revised to clarify the grade point average

requirements for the program. Additionally, non-substantive revisions are

being made to update teacher certification references to teacher licensure

to align terminology with that used by the Illinois State Board of

Education (ISBE).

B) Statutory Authority: Implementing Section 50 and authorized by Section

20(f) of the Higher Education Student Assistance Act [110 ILCS 947/50

and 20(f)].







corporations: None


Lynn Hynes



1755 Lake Cook Road

Deerfield IL 60015

847/948-8500, ext. 18032



d) Part (Heading and Code Citations): Golden Apple Scholars of Illinois Program (23 Ill.

Adm. Code 2764)

1) Rulemaking:


18



A) Description: Non-substantive revisions are being made to update teacher

certification references to teacher licensure to align terminology with that

used by the Illinois State Board of Education (ISBE).

B) Statutory Authority: Implementing Section 52 of the Higher Education

Student Assistance Act [110 ILCS 947/52] and authorized by Sections

20(f) and 52(h) of the Higher Education Student Assistance Act [110

ILCS 947/20(f) and 52(h)].







corporations: None


Lynn Hynes



1755 Lake Cook Road

Deerfield IL 60015

847/948-8500, ext. 18032



e) Part (Heading and Code Citations): Illinois Special Education Teacher Tuition Waiver

(SETTW) Program (23 Ill. Adm. Code 2765)

1) Rulemaking:

A) Description: This Part is being revised to clarify the enrollment

requirements for the program. Additionally, non-substantive revisions are


18



being made to update teacher certification references to teacher licensure

to align terminology with that used by the Illinois State Board of

Education (ISBE).

B) Statutory Authority: Implementing Section 65.15 and authorized by

Sections 20(f) and 65.15(a)(2) of the Higher Education Student Assistance

Act [110 ILCS 947/20(f) and 65.15].







corporations: None


Lynn Hynes



1755 Lake Cook Road

Deerfield IL 60015

847/948-8500, ext. 18032



ILLINOIS ADMINISTRATIVE CODE Issue Index - With Effective Dates

Rules acted upon in Volume 42, Issue 1 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 23 - 910 ............................. 1 86 - 3000 ............................. 7 89 - 140 ........................... 27 50 - 904 ........................... 53 ADOPTED RULES 23 - 1009 12/19/2017 ........................... 59 23 - 1030 12/19/2017 ........................... 66 23 - 1050 12/19/2017 ......................... 120 23 - 1095 12/19/2017 ......................... 151 71 - 2005 12/19/2017 ......................... 188 92 - 1003 12/19/2017 ......................... 203 92 - 1010 12/19/2017 ......................... 212 92 - 1019 12/19/2017 ......................... 223 92 - 1040 12/19/2017 ......................... 235 REGULATORY AGENDA 23 - 1080 ......................... 266 2 - 1650 ......................... 269 35 - 1500 ......................... 275 35 - 365 ......................... 277 41 - 100 ......................... 283 74 - 730 ......................... 303 23 - 2733 ......................... 309

ORDER FORM

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Send Payment To: Secretary of State E-mail: [email protected] Department of Index Phone: (217) 782-7017 Administrative Code Division 111 E. Monroe Springfield, IL 62756 Name: Attention: ID #:

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Published by JESSE WHITE Secretary of State

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