ILLINOIS...Springfield, IL 62756 217-782-7017 Printed on recycled paper i TABLE OF CONTENTS February 16, 2018 Volume 42, Issue 7 PROPOSED RULES EMERGENCY MANAGEMENT AGENCY 32 Ill 32

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

February 16, 2018 Volume 42, Issue 7

PROPOSED RULES EMERGENCY MANAGEMENT AGENCY, ILLINOIS

Licensing Requirements for Source Material Milling Facilities

32 Ill. Adm. Code 332............................................................................2970

Physical Protection of Category 1 and Category 2 Quantities of

Radioactive Material

32 Ill. Adm. Code 337............................................................................2976

Radioactive Materials Transportation

32 Ill. Adm. Code 341............................................................................3028

Status Signals for Nuclear Power Reactors

32 Ill. Adm. Code 504............................................................................3034

HEALTHCARE AND FAMILY SERVICES, DEPARTMENT OF

Medical Payment

89 Ill. Adm. Code 140............................................................................3040

RACING BOARD, ILLINOIS

Medication

11 Ill. Adm. Code 603............................................................................3102

SECRETARY OF STATE

Issuance of Licenses

92 Ill. Adm. Code 1030..........................................................................3113

ADOPTED RULES GAMING BOARD, ILLINOIS

Video Gaming (General)

11 Ill. Adm. Code 1800..........................................................................3126

HEALTHCARE AND FAMILY SERVICES, DEPARTMENT OF

Hospital Services

89 Ill. Adm. Code 148............................................................................3152

STATE BOARD OF EDUCATION

Charter Schools

23 Ill. Adm. Code 650............................................................................3182

AUDITOR GENERAL

Purchases and Contracts

44 Ill. Adm. Code 500............................................................................3193

PUBLIC HEARINGS ON PROPOSED RULES AGING, DEPARTMENT ON

Community Care Program.............................................................................3231

SECOND NOTICES RECEIVED JOINT COMMITTEE ON ADMINISTRATIVE RULES

Second Notices Received…...........................................................................3233

EXECUTIVE ORDERS AND PROCLAMATIONS EXECUTIVE ORDER

ii

Executive Order Strengthening the State's Ethics Laws and Compliance

2018-2……………….............................................................................3234

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

iv

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 2970

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ILLINOIS EMERGENCY MANAGEMENT AGENCY

NOTICE OF PROPOSED AMENDMENT

1) Heading of the Part: Licensing Requirements for Source Material Milling Facilities

2) Code Citation: 32 Ill. Adm. Code 332

3) Section Number: Proposed Action:

332.250 Amendment

4) Statutory Authority: Implementing and authorized by the Radiation Protection Act of

1990 [420 ILCS 40] and the Uranium and Thorium Mill Tailings Control Act [420 ILCS

42].

5) A Complete Description of the Subjects and Issues Involved: The Agency is proposing

to amend Section 332.250 to be consistent with 10 CFR 40 and maintain compatibility

with the U. S. Nuclear Regulatory Commission (NRC) pursuant to RATS ID 2012-3.

NRC has notified IEMA that this amendment must be made because the current version

is less restrictive than the NRC requirement and does not meet the compatibility

requirement.

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

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

None

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

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

9) Does this rulemaking contain incorporations by reference? No

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

11) Statement of Statewide Policy Objective: The requirements imposed by the proposed

rulemaking are not expected to require local governments to establish, expand or modify

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

period of 45 days following publication of this Notice. The Agency will consider fully


18



all written comments on this proposed rulemaking submitted during the 45 day comment

period. Comments should be submitted to:

Traci Burton, Paralegal Assistant

Illinois Emergency Management Agency

1035 Outer Park Drive

Springfield IL 62704

217/785-9860

13) Initial Regulatory Flexibility Analysis:

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

affected: The Agency does not anticipate that this amendment will affect these

entities.

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: January 2018

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


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TITLE 32: ENERGY

CHAPTER II: ILLINOIS EMERGENCY MANAGEMENT AGENCY

SUBCHAPTER b: RADIATION PROTECTION

PART 332

LICENSING REQUIREMENTS FOR SOURCE MATERIAL MILLING FACILITIES

Section

332.10 Purpose and Scope

332.20 Definitions

332.30 License Required

332.40 Application Content and Procedure

332.50 General Information

332.60 Technical Information

332.70 Technical Analyses

332.80 Institutional Information

332.90 Financial Information

332.100 Evaluation of License Application and Issuance of a License

332.110 General Conditions of Licenses

332.120 Application for Renewal or Closure

332.130 Contents of Application for Site Closure and Stabilization

332.140 Postclosure Observation and Maintenance

332.150 Termination of Source Material Milling Facility License

332.160 General Requirements

332.170 Protection of the General Population from Radiation

332.180 Protection of Individuals from Inadvertent Access

332.190 Protection of Individuals During Operations

332.200 Stability of the Byproduct Material Disposal Site After Closure

332.210 Technical Criteria for Byproduct Material Disposal Sites − Siting Criteria

332.220 Technical Criteria for Byproduct Material Disposal Sites − Design Criteria

332.230 Technical Criteria for Byproduct Material Licensed Sites − Groundwater

Protection

332.240 Technical Criteria for Byproduct Material Disposal Sites − Control of Radiation

Hazards

332.250 Technical Criteria − Source Material Milling Operations

332.260 Financial Surety Requirements

332.270 Long-Term Care FundPayment

332.280 Land Ownership

332.290 Maintenance of Records, Reports, and Transfers


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AUTHORITY: Implementing and authorized by the Radiation Protection Act of 1990 [420

ILCS 40] and the Uranium and Thorium Mill Tailings Control Act [420 ILCS 42].

SOURCE: Adopted at 14 Ill. Reg. 1333, effective January 5, 1990; amended at 18 Ill. Reg.

3128, effective February 22, 1994; emergency amendment adopted at 18 Ill. Reg. 17933,

effective December 1, 1994, for a maximum of 150 days; amended at 19 Ill. Reg. 6601, effective

April 28, 1995; amended at 21 Ill. Reg. 3897, effective March 13, 1997; recodified from the

Department of Nuclear Safety to the Illinois Emergency Management Agency at 27 Ill. Reg.

13641; amended at 32 Ill. Reg. 16765, effective October 6, 2008; amended at 38 Ill. Reg. 21459,

effective October 31, 2014; amended at 39 Ill. Reg. 15719, effective November 24, 2015;

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

Section 332.250 Technical Criteria − Source Material Milling Operations

a) Liquids resulting from any of the mill processes shall not be released into surface

streams. In addition, contaminated solutions, other than liquids resulting from

any of the mill processes, shall not be released into the environment if the

solutions have radionuclide concentrations in excess of those specified in 32 Ill.

Adm. Code 340.320(b) and (c).

b) Byproduct material shall be chemically and physically treated to immobilize or

remove the contaminants.

c) An independent quality assurance program shall be established to assure that

specifications of the monitoring program detailed in the license are met. If

adverse groundwater impacts or conditions conducive to adverse groundwater

impacts occur, action shall be taken to alleviate the impacts or conditions and

restore groundwater quality to levels as specified in accordance with Section

332.230 of this Part.

d) Source material milling operations shall be conducted so that all airborne effluent

releases are reduced to levels as low as is reasonably achievable. Emissions

controls shall be used. Institutional controls, such as extending the licensed site

boundary and exclusion area, may be employed to ensure that offsite dose limits

are met, but only after all practicable process and engineering measures have been

taken to control emissions at the source. Notwithstanding the existence of

individual dose standards, strict control of emissions is necessary to assure that

population exposures are reduced to the maximum extent reasonably achievable


18



and to avoid site contamination. During operations and prior to closure, radiation

doses from radon emissions from surface impoundments and disposal areas

containing byproduct material shall be kept as low as is reasonably achievable.

Checks shall be made and logged hourly of all parameters that determine the

efficiency of product stack emission control equipment operation. It shall be

determined whether conditions are within a range prescribed to ensure that the

equipment is operating consistently near peak efficiency. Corrective action must

be taken when performance is outside of prescribed ranges. Effluent control

devices must be operative at all times during drying and packaging operations and

whenever air is exhausting from the product stack. Drying and packaging

operations shall terminate when controls are inoperative. When checks indicate

the equipment is not operating within the range prescribed for peak efficiency,

actions shall be taken to restore parameters to the prescribed range. When this

cannot be done without shutdown and repairs, drying and packaging operations

shall cease as soon as practicable. Operations shall not be restarted after cessation

due to abnormal performance until needed corrective actions have been identified

and implemented. All such cessations, corrective actions and restarts shall be

reported to the Agency, in writing, within 10 days after the subsequent restart.

e) To control fugitive dust from tailings, all surfaces not covered by standing liquids

shall be wetted or chemically stabilized. For licenses initially granted after

January 1, 1990, management of tailings shall incorporate phased-in surface

stabilization and reclamation. To control dusting from diffuse sources, operators

shall develop written operating procedures specifying the methods of control that

will be used.

f) Byproduct material shall be managed so as to conform to the applicable

provisions of 40 CFR 440, Ore Mining and Dressing Point Source Category:

Effluent Limitations Guidelines and New Source Performance Standards, subpart

C, Uranium, Radium, and Vanadium Ores Subcategory, in effect on July 1, 1995,

exclusive of subsequent amendments or editions.

g) Licensees and applicants shall satisfy the requirements of 40 CFR 61, in effect on

July 1, 1995, exclusive of subsequent amendments or editions.

h) Inspection of the byproduct material impoundments and disposal areas:

1) The licensee shall conduct daily inspections of any surface impoundment

and disposal site and document the results of the inspections. Records of


18



the inspections shall be maintained for 5 years in a format allowing for

easy access and review by the Agency.

2) The licensee shall notify the Agency within 2 hours by telephone, and then

within 48 hours by written report, of any failure of a byproduct material

surface impoundment or disposal area that results in a release of byproduct

material into unrestricted areas. The licensee shall notify the Agency in

writing, immediatelywithin 5 working days, of any condition that was not

anticipated in the design of the byproduct material surface impoundment

or disposal area and, if not corrected, could cause failure of embankments

or other structures containing the byproduct material and the release of

byproduct material into unrestricted areas.

3) In cases of failure of the byproduct material impoundment, the report shall

be maintained for transfer to the governmental agency to which the title of

the facility will be transferred.

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


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NOTICE OF PROPOSED AMENDMENTS

1) Heading of the Part: Physical Protection of Category 1 and Category 2 Quantities of



3) Section Numbers: Proposed Actions:

337.10 Amendment

337.40 Amendment

337.50 Amendment

337.1010 Amendment

337.1020 Amendment

337.1030 Amendment

337.1040 Amendment

337.1050 Amendment

337.1060 Amendment

337.1070 Amendment

337.2010 Amendment

337.2020 Amendment

337.2030 Amendment

337.2040 Amendment

337.2050 Amendment

337.2060 Amendment

337.2070 Amendment

337.2080 Amendment

337.2090 Amendment

337.3010 Amendment

337.3020 Amendment

337.3030 Amendment

337.3040 Amendment

337.3050 Amendment

337.3060 Amendment

337.5020 Amendment

337.6010 Amendment

337.Appendix A Amendment

4) Statutory Authority: Implementing and authorized by Section 10 of the Radiation

Protection Act of 1990 [420 ILCS 40/10].


18



5) A Complete Description of the Subjects and Issues Involved: IEMA is proposing to

amend this Part as required to maintain compatibility with the U.S. Nuclear Regulatory

Commission's (USNRC) 10 CFR Part 37. The amendments to this Part are pursuant to

RATS ID 2015-2 (80 FR 3865, published January 26, 2015), 2015-4 (80 FR 45841,

published August 3, 2015) and 2015-5 (80 FR 74974, published December 1, 2015) and

comments provided by the USNRC. These required changes are category B for

compatibility and must be adopted verbatim to the changes made by the USNRC. In

addition, minor typographical and clerical errors are being corrected to stay consistent

with the format of the Illinois Administrative Code as previously requested by staff of the

Joint Committee on Administrative Rules.

Section 31 of the Radiation Protection Act of 1990 [420 ILCS 40/31] provides that IEMA

is exempt from rulemaking procedures in the Illinois Administrative Procedure Act when

regulations that are identical in substance are necessary to implement, secure, or maintain

federal authorization for a program. After consideration of comments from the

appropriate federal agency, the Agency may adopt the verbatim text of the laws,

regulations, or orders as necessary and appropriate for authorization or maintenance of

the program. Because this rulemaking is not subject to the Illinois Administrative

Procedure Act, and in accordance with Section 31, this rulemaking will become effective

following the first notice period immediately upon filing for adoption with the Secretary

of State or at a date required or authorized by the relevant federal laws, regulations, or

orders as stated in the notice of the rulemaking, and shall be published in the Illinois

Register.



None





11) Statement of Statewide Policy Objective: These amendments are not expected to require

local governments to establish, expand, or modify their activities in such a way as to

necessitate additional expenditures from local revenues.


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Traci Burton




217/785-9860



affected: These entities will only be affected if they possess category 1 or 2

quantity of radioactive material.




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


18



TITLE 32: ENERGY



PART 337

PHYSICAL PROTECTION OF CATEGORY 1 AND CATEGORY 2

QUANTITIES OF RADIOACTIVE MATERIAL

SUBPART A: GENERAL INFORMATION

Section

337.10 Purpose

337.20 Scope

337.30 Incorporations by Reference

337.40 Definitions

337.50 Specific Exemptions

SUBPART B: BACKGROUND INVESTIGATIONS AND

ACCESS CONTROL PROGRAM

Section

337.1010 Personnel Access Authorization Requirements for Category 1 or Category 2

QuantityQuantities of Radioactive Material

337.1020 Access Authorization Program Requirements

337.1030 Background Investigations

337.1040 Requirements for Criminal History Records Checks of Individuals Granted

Unescorted Access to Category 1 or Category 2 QuantityQuantities of


337.1050 Relief from Fingerprinting, Identification, and Criminal History Records Checks

and Other Elements of Background Investigations for Designated Categories of

Individuals Permitted Unescorted Access to Certain Radioactive Materials

337.1060 Protection of Information

337.1070 Access Authorization Program Review

SUBPART C: PHYSICAL PROTECTION REQUIREMENTS DURING USE

Section

337.2010 Security Program

337.2020 General Security Program Requirements


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337.2030 LLEA Coordination

337.2040 Security Zones

337.2050 Monitoring, Detection and Assessment

337.2060 Maintenance and Testing

337.2070 Requirements for Mobile Devices

337.2080 Security Program Review

337.2090 Reporting of Events

SUBPART D: PHYSICAL PROTECTION IN TRANSIT

Section

337.3010 Additional Requirements for Transfer of Category 1 and Category 2 Quantities of


337.3020 Applicability of Physical Protection of Category 1 and Category 2 Quantities of

Radioactive Material During Transit

337.3030 Preplanning and Coordination of Shipment of Category 1 or Category 2


337.3040 Advance Notification of Shipment of Category 1 QuantityQuantities of


337.3050 Requirements for Physical Protection of Category 1 and Category 2 Quantities of

Radioactive Material During Shipment

337.3060 Reporting of Events

SUBPART E: RECORDS

Section

337.5010 Form of Records

337.5020 Record Retention

SUBPART F: ENFORCEMENT

Section

337.6010 Resolution of Conflicting Requirements During Transition Period

337.APPENDIX A Category 1 and Category 2 Radioactive MaterialMaterials

AUTHORITY: Implementing and authorized by Section 10 of the Radiation Protection Act of

1990 [420 ILCS 40/10].


18



SOURCE: Adopted at 40 Ill. Reg. 4850, effective February 26, 2016; amended at 42 Ill. Reg.

______, effective ____________.

SUBPART A: GENERAL INFORMATION

Section 337.10 Purpose

This Part contains the requirements for the physical protection program for any licensee that

possesses an aggregated category 1 or category 2 quantity of radioactive material listed in

Appendix A. These requirements provide reasonable assurance of the security of the category 1

or category 2 quantityquantities of radioactive material by protecting these materials from theft,

sabotage or diversion. Specific requirements for access, use, transfer and transport of material

are included. No provision of this Part authorizes possession of licensed material. The

requirements in this Part are in addition to, and not in substitution for, other requirements in 32

Ill. Adm. Code: Chapter II, Subchapters b and d. All applicants for a license and existing

licensees are subject to this Part, unless specifically exempted.


Section 337.40 Definitions

As used in this Partpart:

"Access control" means a system for allowing only approved individuals to have

unescorted access to the security zone and for ensuring that all other individuals

are subject to escorted access.

"Aggregated" means accessible by the breach of a single physical barrier that

would allow access to radioactive material in any form, including any devices that

contain the radioactive material, when the total activity equals or exceeds a

category 2 quantity of radioactive material.

"Approved individual" means an individual whom the licensee has determined to

be trustworthy and reliable for unescorted access in accordance with Subpart B

and who has completed the training required by Section 337.2020(c). This does

not mean the individual has met the requirements to be an approved authorized

user of radioactive material.

"Atomic Energy Act of 1954" means 42 USC 2169.


18



"Background investigation" means the investigation required by Section 337.1030

and conducted by a licensee or applicant for a license to support the determination

of trustworthiness and reliability.

"Carrier" means a person engaged in the transportation of passengers or property

by land or water as a common, contract or private carrier, or by civil aircraft.

"Category 1 quantity of radioactive material" means a quantity of radioactive

material meeting or exceeding the category 1 threshold in Table 1 of Appendix A.

This is determined by calculating the ratio of the total activity of each

radionuclide to the category 1 threshold for that radionuclide and adding the ratios

together. If the sum is equal to or exceeds 1, the quantity would be considered a

category 1 quantity. Category 1 quantityquantities of radioactive material doesdo

not include the radioactive material contained in any fuel assembly, subassembly,

fuel rod or fuel pellet.

"Category 2 quantity of radioactive material" means a quantity of radioactive

material meeting or exceeding the category 2 threshold but less than the category

1 threshold in Table 1 of Appendix A. This is determined by calculating the ratio

of the total activity of each radionuclide to the category 2 threshold for that

radionuclide and adding the ratios together. If the sum is equal to or exceeds 1,

the quantity would be considered a category 2 quantity. Category 2

quantityquantities of radioactive material doesdo not include the radioactive

material contained in any fuel assembly, subassembly, fuel rod or fuel pellet.

"Diversion" means the unauthorized movement of radioactive material subject to

this Part to a location different from the material's authorized destination inside or

outside of the site that the material is used or stored.

"Escorted access" means accompaniment while in a security zone by an approved

individual who maintains continuous direct visual surveillance at all times over an

individual who is not approved for unescorted access.

"FBI" means the Federal Bureau of Investigation.

"Fingerprint Orders" means the orders issued by the U.S. Nuclear Regulatory

Commission (NRC) or the legally binding requirements issued by Agreement

States that require fingerprints and criminal history records checks for individuals


18



with unescorted access to category 1 and category 2 quantities of radioactive

material or safeguards information-modified handling.

"IEMA" means the Illinois Emergency Management Agency.

"License issuing authority" means the licensing agency that issued the license

(i.e., the U.S. Nuclear Regulatory Commission, the Illinois Emergency

Management Agency or the appropriate agency of another Agreement State).

"Local law enforcement agency" or "LLEA" means a public or private

organization that has been approved by a federal, state or local government to

carry firearms and make arrests. The LLEA is authorized and has the capability to

provide an armed response in the jurisdiction where the licensed category 1 or

category 2 quantity of radioactive material is used, stored or transported.

"Mobile device" means a piece of equipment containing licensed radioactive

material that is either mounted on wheels or casters, or otherwise equipped for

moving without a need for disassembly or dismounting, or designed to be hand

carried. Mobile devices do not include stationary equipment installed in a fixed

location.

"Movement control center" means an operations center that is remote from

transport activity and maintains position information on the movement of

radioactive material, receives reports of attempted attacks or thefts, provides a

means for reporting these and other problems to appropriate agencies, and

requests and coordinates appropriate aid.

"No-later-than arrival time" means the date and time that the shipping licensee

and receiving licensee have established as the time that an investigation will be

initiated if the shipment has not arrived at the receiving facility. The no-later-

than-arrival time may not be more than 6 hours after the estimated arrival time for

shipments of category 2 quantities of radioactive material.

"Reviewing official" means the individual who shall make the trustworthiness and

reliability determination of an individual to determine whether the individual may

have, or continue to have, unescorted access to the category 1 or category 2

quantityquantities of radioactive materialmaterials that isare possessed by the

licensee. The reviewing officialReviewing Official may have unescorted access

to the category 1 or category 2 quantityquantities of radioactive material only if


18



his or hertheir job duties require unescorted access to a category 1 or category 2

quantityquantities of radioactive material. If the job duties require access to the

material, the reviewing official shall also meet the training requirements for use of

that radioactive material.

"Sabotage" means deliberate damage, with malevolent intent, to a category 1 or

category 2 quantity of radioactive material, a device that contains a category 1 or

category 2 quantity of radioactive material or the components of the security

system.

"Safeguards informationInformation" means information not classified as

National Security Information or Restricted Data thatwhich specifically identifies

a licensee's or applicant's detailed control and accounting procedures for the

physical protection of special nuclear material in quantities determined by the

U.S. Nuclear Regulatory Commission through order or regulation to be significant

to the public health and safety or the common defense and security; detailed

security measures (including security plans, procedures, and equipment) for the

physical protection of source, byproduct, or special nuclear material in quantities

determined by NRCthe Commission through order or regulation to be significant

to the public health and safety or the common defense and security; security

measures for the physical protection of and location of certain plant equipment

vital to the safety of production or utilization facilities; and any other information

within the scope of sectionSection 147 of the Atomic Energy Act of 1954, as

amended, the unauthorized disclosure of which, as determined by NRCthe

Commission through order or regulation, could reasonably be expected to have a

significant adverse effect on the health and safety of the public or the common

defense and security by significantly increasing the likelihood of sabotage or theft

or diversion of source, byproduct, or special nuclear material.

"Safeguards information – modified handlingInformation − Modified Handling"

is the designation or marking applied to safeguards information that

NRCSafeguards Information which the Commission has determined requires

handling requirements modified from the specific safeguards

informationSafeguards Information handling requirements that are applicable to

safeguards informationSafeguards Information needing a higher level of

protection.


18



"Safe haven" means a readily recognizable and readily accessible site wherethat

security is present or at whichthat, in the event of an emergency, the transport

crew can notify and wait for the local law enforcement authorities.

"Security zone" means any temporary or permanent area determined and

established by the licensee for the physical protection of a category 1 or category

2 quantityquantities of radioactive material.

"Telemetric position monitoring system" means a data transfer system that

captures information by instrumentation and/or measuring devices about the

location and status of a transport vehicle or package between the departure and

destination locations.

"Trustworthiness and reliability" are characteristics of an individual considered

dependable in judgment, character and performance, such that unescorted access

to a category 1 or category 2 quantityquantities of radioactive material by that

individual does not constitute an unreasonable risk to the public health and safety

or security. For this purpose, aA determination of trustworthiness and reliability

for this purpose is based upon the results offrom a background investigation and

certification by the reviewing officialReviewing Official.

"Unescorted access" means solitary access to an aggregated category 1 or

category 2 quantity of radioactive material or the devices that contain the

material.


Section 337.50 Specific Exemptions

A licensee that possesses radioactive waste that contains a category 1 or category 2

quantityquantities of radioactive material is exempt from the requirements of Subparts B, C and

D; except. Except that any radioactive waste that contains discrete sources, ion-exchange resins

or activated material that weighs less than 2,000 kg (4,409 lbs) is not exempt from the

requirements. The licensee shall implement the following requirements to secure the radioactive

waste:

a) Use continuous physical barriers that allow access to the radioactive waste only

through established access control points;


18



b) Use a locked door or gate with monitored alarm at the access control point;

c) Assess and respond to each actual or attempted unauthorized access to determine

whether an actual or attempted theft, sabotage or diversion occurred; and

d) Immediately notify the LLEA and request an armed response from the LLEA

upon determination that there was an actual or attempted theft, sabotage or

diversion of the radioactive waste that contains a category 1 or category 2

quantityquantities of radioactive material. Immediately after initiating a response,

but not at the expense of causing delay or interfering with the LLEA response to

the event, the licensee shall notify IEMA at (217)782-7860 or (800)782-7860. In

no case shall the notification to IEMA be made later than one (1) hour after the

discovery of any attempted or actual theft, sabotage or diversion.


SUBPART B: BACKGROUND INVESTIGATIONS AND

ACCESS CONTROL PROGRAM

Section 337.1010 Personnel Access Authorization Requirements for Category 1 or

Category 2 QuantityQuantities of Radioactive Material

a) General.

1) Each licensee that possesses an aggregated quantity of radioactive material

at or above the category 2 threshold shall establish, implement and

maintain its access authorization program in accordance with the

requirements of this Subpart.

2) An applicant for a new license and each licensee that would become newly

subject to the requirements of this Subpart upon application for

modification of its license shall implement the requirements of this

Subpart, as appropriate, before taking possession of an aggregated

category 1 or category 2 quantity of radioactive material.

3) Any licensee that has not previously implemented the security

ordersSecurity Orders, legally binding requirements of the Agreement

States or been subject to the provisions of this Subpart Bsubpart shall

implement the provisions of this Subpart Bsubpart before aggregating


18



radioactive material to a quantity that equals or exceeds the category 2

threshold.

AGENCY NOTE: Security orders refers to any order that was issued by the NRC

or an amendment to a license issuedissue by IEMA that required fingerprints and

an FBI criminal history records check for access to safeguards information,

safeguards information-modified handling, or risk significant material.

b) General Performance Objectiveperformance objective.

The licensee's access authorization program shall ensure that the individuals

specified in subsection (c)(1) are trustworthy and reliable.

c) Applicability.

1) Licensees shall subject the following individuals to an access

authorization program:

A) Any individual whose assigned duties require unescorted access to

a category 1 or category 2 quantityquantities of radioactive

material or to any device that contains the radioactive material; and

B) Reviewing officials.

2) Licensees need not subject the categories of individuals listed in Section

337.1050(a)(1) through (13) to the investigation elements of the access

authorization program identified in Section 337.1030.

3) Licensees shall approve for unescorted access to a category 1 or category

2 quantityquantities of radioactive material only those individuals with job

duties that require unescorted access to category 1 or category 2

quantityquantities of radioactive material.


Section 337.1020 Access Authorization Program Requirements

a) Granting Unescorted Access Authorizationunescorted access authorization.


18



1) Licensees shall implement the requirements of this Subpart for granting

initial or reinstated unescorted access authorization.

2) Individuals who have been determined to be trustworthy and reliable shall

also complete the security training required by Section 337.2020(c) before

being allowed unescorted access to a category 1 or category 2


b) Reviewing Officialsofficials.

1) Reviewing officials are the only individuals who may make

trustworthiness and reliability determinations that allow individuals to

have unescorted access to a category 1 or category 2 quantityquantities of

radioactive materialmaterials possessed by the licensee.

2) Each licensee shall name one or more individuals to be reviewing

officials. After completing the background investigation on the reviewing

official, the licensee shall provide, under oath or affirmation, a

certification that the reviewing official is deemed trustworthy and reliable

by the licensee. The fingerprints of the named reviewing official shall be

taken by a law enforcement agency, federal agency or state

agencyagencies that providesprovide fingerprinting services to the public

or by commercial fingerprinting services authorized by a state to take

fingerprints. The licensee shall recertify that the reviewing official is

deemed trustworthy and reliable every 10 years in accordance with

Section 337.1030(e).

3) Reviewing officials shall be permitted to have unescorted access to a

category 1 or category 2 quantityquantities of radioactive

materialmaterials if their job duties require unescorted access to category 1

or category 2 quantityquantities of radioactive material as referenced in

Section 337.1010(c)(3).

4) Reviewing officials cannot approve other individuals to act as reviewing

officials.

5) A reviewing official does not need to undergo a new background

investigation before being named by the licensee as the reviewing official

if:


18



A) The individual has previously undergone a background

investigation that included fingerprinting and an FBI criminal

history records check and has been determined to be trustworthy

and reliable by the licensee; or

B) The individual falls withinis subject to a category listed in Section

337.1050(a).

c) Informed Consentconsent.

1) Licensees may not initiate a background investigation without the

informed and signed consent of the subject individual. This consent shall

include authorization to share personal information with other individuals

or organizations as necessary to complete the background investigation.

Before a final adverse determination, the licensee shall provide the

individual with an opportunity to correct any inaccurate or incomplete

information that is developed during the background investigation.

Licensees do not need to obtain signed consent from those individuals that

meet the requirements of Section 337.1030(d). A signed consent shall be

obtained prior to any reinvestigation.

2) The subject individual may withdraw his or her consent at any time.

Licensees shall inform the individual that:

A) If an individual withdraws his or her consent, the licensee may not

initiate any elements of the background investigation that were not

in progress at the time the individual withdrew his or her consent;

and

B) The withdrawal of consent for the background investigation is

sufficient cause for denial or termination of unescorted access

authorization.

d) Personal History Disclosurehistory disclosure.

Any individual who is applying for unescorted access authorization shall disclose

the personal history information that is required by the licensee's access

authorization program for the reviewing official to make a determination of the

individual's trustworthiness and reliability. Refusal to provide, or the falsification


18



of, any personal history information required by this Subpart is sufficient cause

for denial or termination of unescorted access.

e) Determination Basisbasis.

1) The reviewing official shall determine whether to permit, deny,

unfavorably terminate, maintain or administratively withdraw an

individual's unescorted access authorization based on an evaluation of all

of the information collected to meet the requirements of this Subpart.

2) The reviewing official may not permit any individual to have unescorted

access until the reviewing official has evaluated all of the information

collected to meet the requirements of this Subpart and determined that the

individual is trustworthy and reliable. The reviewing official may deny

unescorted access to any individual based on information obtained at any

time during the background investigation.

3) The licensee shall document the basis for concluding whether or not there

is reasonable assurance that an individual is trustworthy and reliable.

4) The reviewing official may terminate or administratively withdraw an

individual's unescorted access authorization based on information obtained

after the background investigation has been completed and the individual

is granted unescorted access authorization.

5) Licensees shall maintain a list of persons currently approved for

unescorted access authorization. When a licensee determines that a person

no longer requires unescorted access or meets the access authorization

requirement, the licensee shall remove the person from the approved list as

soon as possible, but no later than 7 working days afterfrom the

determination, and take prompt measures to ensure that the individual is

unable to have unescorted access to the material.

f) Procedures. Licensees shall develop, implement and maintain written procedures

for implementing the access authorization program. The procedures shall include

provisions for:

1) The notification of individuals who are denied unescorted access;


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2) The review, at the request of the affected individual, of a denial or

termination of unescorted access authorization;

3) Ensuring that the individual is informed of the grounds for the denial or

termination of unescorted access authorization; and

4) Allowing the individual an opportunity to provide additional relevant

information.

g) Right to Correctcorrect and Complete Informationcomplete information.

1) Prior to any final adverse determination, licensees shall provide each

individual subject to this Subpart with the right to complete, correct and

explain information obtained as a result of the background investigation.

Confirmation of receipt by the individual of this notification shall be

maintained by the licensee for a period of one1 year from the date of the

notification.

2) If, after reviewing his or her criminal history record, an individual believes

that it is incorrect or incomplete and wishes to change, correct, update or

explain anything in the record, the individual may initiate challenge

procedures. These procedures include direct application by the individual

challenging the record to the law enforcement agency that contributed the

questioned information or a direct challenge as to the accuracy or

completeness of any entry on the criminal history record to the Federal

Bureau of Investigation, Criminal Justice Information Services (CJIS)

Division, ATTN: SCU, Mod. D-2, 1000 Custer Hollow Road, Clarksburg,

WV 26306, as set forth in 28 CFR 16.30 through 16.34. In the latter case,

the FBI will forward the challenge to the agency that submitted the data

and will request that the submitting agency verify or correct the

challenged entry. Upon receipt of an official communication directly from

the submitting agency that contributed the original information, the FBI

Identification Division should make any necessary changes in accordance

with the information supplied by that submitting agency. Licensees shall

provide at least 10 business days for an individual to initiate action to

challenge the results of an FBI criminal history records check after the

record is made available for his or her review. The licensee shall make a

final adverse determination based upon the criminal history records only

after receipt of the FBI's confirmation or correction of the record.


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h) Records.

1) The licensee shall retain documentation regarding the trustworthiness and

reliability of individual employees for 3 years from the date the individual

no longer requires unescorted access to a category 1 or category 2


2) The licensee shall retain a copy of the current access authorization

program procedures as a record for 3 years after the procedure is no longer

needed. If any portion of the procedure is superseded, the licensee shall

retain the superseded material for 35 years after the record is superseded.

3) The licensee shall retain the list of persons approved for unescorted access

authorization for 3 years after the list is superseded or replaced.


Section 337.1030 Background Investigationsinvestigations

a) Initial Investigationinvestigation.

Before allowing an individual unescorted access to a category 1 or category 2

quantityquantities of radioactive material or to the devices that contain the

material, licensees shall complete a background investigation of the individual

seeking unescorted access authorization. The scope of the investigation shall

encompass at least the 7 years preceding the date of the background investigation

or since the individual's 18theighteenth birthday, whichever is shorter. The

background investigation shall include, at a minimum:

1) Fingerprinting and an FBI identification and criminal history records

check in accordance with Section 337.1040;

2) Verification of True Identitytrue identity. Licensees shall verify the true

identity of the individual who is applying for unescorted access

authorization to ensure that the applicant is who he or she claims to be. A

licensee shall review official identification documents (e.g., driver's

license; passport; government identification and/or certificate of birth

issued by the state, province, or country of birth) and compare the

documents to personal information data provided by the individual to


18



identify any discrepancy in the information. Licensees shall document the

type, expiration and identification number of the identification document

or maintain a photocopy of identifying documents on file in accordance

with Section 337.1060. Licensees shall certify in writing that the

identification was properly reviewed and shall maintain the certification

and all related documents for review upon inspection;

3) Employment History Verificationhistory verification. Licensees shall

complete an employment history verification, including military history.

Licensees shall verify the individual's employment with each previous

employer for the most recent 7 years before the date of application or

since the individual's 18theighteenth birthday, whichever is shorter;

4) Verification of Educationeducation. Licensees shall verify that the

individual participated in the education process during the claimed period;

and

5) Character and Reputation Determinationreputation determination.

Licensees shall complete reference checks to determine the character and

reputation of the individual who has applied for unescorted access

authorization. Unless other references are not available, reference checks

may not be conducted with any person who is known to be a close

member of the individual's family, including, but not limited to, the

individual's spouse, parents, siblings or children or any individual who

resides in the individual's permanent household. Reference checks under

this Subpart shall be limited to whether the individual has been and

continues to be trustworthy and reliable.

b) The licensee shall, to the extent possible, obtain independent information to

corroborate that provided by the individual (e.g., seek references not supplied by

the individual).

c) If a previous employer, educational institution or any other entity with whichthat

the individual claims to have been engaged fails to provide information or

indicates an inability or unwillingness to provide information within a time frame

deemed appropriate by the licensee (no less than 10 business days after the

request) or if the licensee is unable to reach the entity, the licensee shall document

the refusal, unwillingness or inability in the record of investigation and attempt to

obtain the information from an alternate source.


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d) Grandfathering.

1) Individuals who were previously determined to be trustworthy and reliable

for unescorted access to a category 1 or category 2 quantityquantities of

radioactive material under the Fingerprint Orders may continue to have

unescorted access to category 1 and category 2 quantities of radioactive

material without further investigation. These individuals shall be subject

to the reinvestigation requirement.

2) Individuals who have been determined to be trustworthy and reliable

under the provisions of a security order for access to safeguards

information, safeguards information-modified handling or risk-significant

material may have unescorted access to category 1 and category 2

quantities of radioactive material without further investigation. The

licensee shall document that the individual was determined to be

trustworthy and reliable under the provisions of a security order. These

individuals shall be subject to the reinvestigation requirement.

AGENCY NOTE: Security order, in this context, refers to any order that

was issued by the NRC or an amendment to a license issued by IEMA that

required fingerprints and an FBI criminal history records check for access

to safeguards information, safeguards information – modified handling or

risk significant material.

e) Reinvestigations.

Licensees shall conduct a reinvestigation every 10 years for any individual with

unescorted access to a category 1 or category 2 quantityquantities of radioactive

material. The reinvestigation shall consist of fingerprinting and an FBI

identification and criminal history records check in accordance with Section

337.1040. The reinvestigations shall be completed within 10 years afterof the

date that these elements were last completed.


Section 337.1040 Requirements for Criminal History Records Checkscriminal history

records checks of Individuals Granted Unescorted Accessindividuals granted unescorted

access to Categorycategory 1 or Categorycategory 2 Quantityquantities of Radioactive

Materialradioactive material


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a) General Performance Objective and Requirementsperformance objective and

requirements.

1) Except for those individuals listed in Section 337.1050 and those

individuals grandfathered under Section 337.1030(d), each licensee

subject to the provisions of this Subpart shall fingerprint each individual

who is to be permitted unescorted access to category 1 or category 2

quantityquantities of radioactive material. Licensees shall transmit all

collected fingerprints to the NRC for transmission to the FBI. The

licensee shall use the information received from the FBI as part of the

required background investigation to determine whether to grant or deny

further unescorted access to a category 1 or category 2 quantityquantities

of radioactive materialmaterials for that individual.

2) The licensee shall notify each affected individual that his or her

fingerprints will be used to secure a review of his or her criminal history

record and shall inform him or her of the procedures for revising the

record or adding explanations to the record.

3) Fingerprinting is not required if:

A) A licensee is reinstating an individual's unescorted access

authorization to category 1 or category 2 quantityquantities of

radioactive materialmaterials;

B) The individual returns to the same facility that granted unescorted

access authorization within 365 days afterof the termination of his

or her unescorted access authorization; and

C) The previous unescorted access authorization was terminated

under favorable conditions.

4) Fingerprints are not required if an individual who is an employee of a

licensee, contractor, manufacturer or supplier has been granted unescorted

access to category 1 or category 2 quantityquantities of radioactive

material, access to safeguards information or safeguards information-

modified handling by another licensee based upon a background

investigation conducted under this Subpart, the Fingerprint Orders or 10


18



CFR 73. An existing criminal history records check file may be

transferred, in accordance with Section 337.1060(c), to the licensee asked

to grant unescorted access in accordance with the provisions of Section

337.1060(c).

5) Licensees shall use the information obtained as part of a criminal history

records check solely for the purpose of determining an individual's

suitability for unescorted access authorization to category 1 or category 2

quantityquantities of radioactive materialmaterials.

b) Prohibitions.

1) Licensees may not base a final determination to deny an individual

unescorted access authorization to category 1 or category 2

quantityquantities of radioactive material solely on the basis of

information received from the FBI involving:

A) An arrest more than one (1) year old in which there is no

information of the disposition of the case; or

B) An arrest that resulted in dismissal of the charge or an acquittal.

2) Licensees may not use information received from a criminal history

records check obtained under this Subpart in a manner that would infringe

upon the rights of any individual under the First Amendment to the

Constitution of the United States nor shall licensees use the information in

any way that would discriminate among individuals on the basis of race,

religion, national origin, gender or age.

c) Procedures for Processingprocessing of Fingerprint Checksfingerprint checks.

1) For the purpose of complying with this Subpart, licensees shall use an

appropriate method listed in 10 CFR 37.7 to submit to the U.S. Nuclear

Regulatory Commission, Director, Division of Facilities and Security,

11545 Rockville Pike, ATTN: Criminal History Program/Mail Stop

TWFN 3B46TWB-05 B32M, Rockville MD, Maryland 20852, one

completed, legible standard fingerprint card (Form FD-258,

ORIMDNRCOOOZ), electronic fingerprint scan or, where practicable,


18



other fingerprint record for each individual requiring unescorted access to

category 1 or category 2 quantityquantities of radioactive material.

AGENCY NOTE: Copies of these forms may be obtained by writing the

Office of Chief Information OfficerInformation Services, U.S. Nuclear

Regulatory Commission, Washington, DC 20555-0001, by calling 1-

(630)-829-9565 or by email to [email protected].

2) Fees for the processing of fingerprint checks are due upon application.

Licensees shall submit payment with the application for the processing of

fingerprints through corporate check, certified check, cashier's check,

money order or electronic payment made payable to "U.S. NRC.".

Combined payment for multiple applications is acceptable. The amount of

the fingerprint check application fee is available on the NRC's website.

To find the current fee amount, go to the Electronic Submittals page at

http://www.nrc.gov/site-help/e-submittals.html and see the link for the

Criminal History Program under Electronic Submission Systems.

AGENCY NOTE: For guidance on making electronic payments, contact

the Security Branch, Division of Facilities and Security at (301)415-

7514(301)492-3531.

3) NRC will forward to the submitting licensee all data received from the

FBI as a result of the licensee's applications for criminal history records

checks.


Section 337.1050 Relief from Fingerprinting, Identification, Criminal History Records

Checks and Other Elements of Background Investigations for Designated Categories of

Individuals Permitted Unescorted Access to Certain Radioactive Materialfingerprinting,

identification, criminal history records checks and other elements of background

investigations for designated categories of individuals permitted unescorted access to

certain radioactive materials

a) Fingerprinting, and the identification and criminal history records checks required

by sectionSection 149 of the Atomic Energy Act of 1954, as amended, and other

elements of the background investigation are not required for the following


18



individuals prior to granting unescorted access to category 1 or category 2

quantityquantities of radioactive materialmaterials:

1) An employee of the NRC or of the Executive Branch of the U.S.

government who has undergone fingerprinting for a prior U.S. government

criminal history records check;

2) A member of Congress;

3) An employee of a member of Congress or Congressional committee who

has undergone fingerprinting for a prior U.S. government criminal history

records check;

4) The Governor of Illinoisthis State or his or her designated State employee

representative;

5) Federal, State of Illinois or local law enforcement personnel;

6) The IEMA Director and State Homeland Security Advisor or their

designated State employee representatives;

7) IEMA employees conducting security inspections on behalf of the NRC

under an agreement executed under sectionSection 274.i of the Atomic

Energy Act of 1954;

8) Representatives of the International Atomic Energy Agency (IAEA)

engaged in activities associated with the U.S./IAEA Safeguards

Agreement who have been certified by the NRC;

9) Emergency response personnel who are responding to an emergency;

10) Commercial vehicle drivers for road shipments of category 1 and category

2 quantities of radioactive material;

11) Package handlers at transportation facilities such as freight terminals and

railroad yards;

12) Any individual who has an active federal security clearance, provided that

he or she makes available the appropriate documentation. Written


18



confirmation from the agency/employer that granted the federal security

clearance or reviewed the criminal history records check shall be provided

to the licensee. The licensee shall retain this documentation for a period

of 3 years from the date the individual no longer requires unescorted

access authorization to category 1 or category 2 quantityquantities of

radioactive material; and

13) Any individual employed by a service provider licensee that the service

provider licensee has conducted the background investigation for the

individual and approved the individual for unescorted access to category 1

or category 2 quantityquantities of radioactive material. Written

verification from the service provider shall be provided to the licensee.

The licensee shall retain the documentation for a period of 3 years from

the date the individual no longer requires unescorted access authorization

to category 1 or category 2 quantityquantities of radioactive material.

b) Fingerprinting and the identification and criminal history records checks required

by Section 149 of the Atomic Energy Act of 1954, as amended, are not required

for an individual who has had a favorably adjudicated U.S. Government criminal

history records check within the last 5 years under a comparable U.S. Government

program involving fingerprinting and an FBI identification and criminal history

records check provided that he or she makes available the appropriate

documentation. Written confirmation from the agency/employer that reviewed

the criminal history records check shall be provided to the licensee. The licensee

shall retain this documentation for a period of 3 years from the date the individual

no longer requires unescorted access to category 1 or category 2

quantityquantities of radioactive material. These programs include, but are not

limited to:

1) National Agency Check;

2) Transportation Worker Identification Credentials (TWIC) under 49 CFR

Part 1572;

3) Bureau of Alcohol, Tobacco, Firearms and Explosives background check

and clearances under 27 CFR Part 555;

4) Health and Human Services security risk assessments for possession and

use of select agents and toxins under 42 CFR Part 73;


18



5) Hazardous material security threat assessment for hazardous material

endorsement to commercial driver's license under 49 CFR Part 1572; and

6) Customs and Border Protection's Free and Secure Trade (FAST) Program.


Section 337.1060 Protection of Information

a) Each licensee who obtains background information on an individual under this

Subpart shall establish and maintain a system of files and written procedures for

protection of the record and the personal information from unauthorized

disclosure.

b) The licensee shall not disclose the record or personal information collected and

maintained to persons other than the subject individual, his or her representative

or to those who have a need to have access to the information in performing

assigned duties in the process of granting or denying unescorted access to

category 1 or category 2 quantityquantities of radioactive material. No individual

authorized to have access to the information shall disseminate the information to

any other individual who does not have a need to know.

c) The personal information obtained on an individual from a background

investigation may be provided to another licensee:

1) Upon the individual's written request to the licensee holding the data to

disseminate the information contained in his or her file; and

2) The recipient licensee verifies information such as name, date of birth,

social security number, gender and other applicable physical

characteristics of the individual.

d) The licensee shall make background investigation records obtained under this

Subpart available for examination by an authorized representative of IEMA to

determine compliance with the law.

e) The licensee shall retain all fingerprint and criminal history records received from

the FBI, including data indicating no record, or a copy of these records, if the


18



individual's file has been transferred. The records shall be retained, for 3 years

from the date the individual no longer requires unescorted access to category 1 or

category 2 quantityquantities of radioactive material.


Section 337.1070 Access Authorization Program Review

a) Each licensee shall be responsible for the continuing effectiveness of the access

authorization program. Each licensee shall ensure that access authorization

programs are reviewed to confirm compliance with the requirements of this

Subpart and that comprehensive actions are taken to correct any noncompliance

that is identified. The review program shall evaluate all program performance

objectives and requirements. Each licensee shall periodically, not to exceed 12

months, review the access program content and implementation.

b) The results of the reviews, along with any recommendations, shall be

documented. Each review report shall identify conditions that are adverse to the

proper performance of the access authorization program and, the cause of thosethe

conditions. When, and, when appropriate, the report shall recommend corrective

actions and identify corrective actions taken. The licensee shall review the

findings and take any additional corrective actions necessary to preclude

repetition of the condition, including reassessment of the deficient areas

whenwhere indicated.

c) Review records shall be maintained for 3 years.


SUBPART C: PHYSICAL PROTECTION REQUIREMENTS DURING USE

Section 337.2010 Security Programprogram

a) Applicability.

1) Each licensee that possesses an aggregated category 1 or category 2

quantity of radioactive material shall establish, implement and maintain a

security program in accordance with the requirements of this Subpart.


18



2) An applicant for a new license and each licensee that would become newly

subject to the requirements of this Subpart upon application for

modification of its license shall implement the requirements of this

Subpart, as appropriate, before taking possession of an aggregated

category 1 or category 2 quantity of radioactive material.

3) Any licensee that has not previously implemented the security

requirements or been subject to the provisions of Subpart C shall provide

written notification to IEMA at the address specified in 32 Ill. Adm. Code

310.110 at least 90 days before aggregating radioactive material to a

quantity that equals or exceeds the category 2 threshold.

b) General Performance Objectiveperformance objective.

Each licensee shall establish, implement and maintain a security program that is

designed to monitor and, without delay, detect, assess and respond to an actual or

attempted unauthorized access to a category 1 or category 2 quantityquantities of

radioactive material.

c) Program Featuresfeatures.

Each licensee's security program shall include the program features, as

appropriate, described in Sections 337.2020 through, 337.2030, 337.2040,

337.2050, 337.2060, 337.2070, and 337.2080.


Section 337.2020 General Security Program Requirements

a) Security Planplan.

1) Each licensee identified in Section 337.2010(a) shall develop a written

security plan specific to its facilities and operations. The purpose of the

security plan is to establish the licensee's overall security strategy to

ensure the integrated and effective functioning of the security program

required by this Subpart. The security plan shall, at a minimum:

A) Describe the measures and strategies used to implement the

requirements of this Subpart; and


18



B) Identify the security resources, equipment and technology used to

satisfy the requirements of this Subpart.

2) The security plan shall be reviewed and approved by the individual with

overall responsibility for the security program.

3) A licensee shall revise its security plan as necessary to ensure the effective

implementation of requirements under this Part. The licensee shall ensure

that:

A) The revision has been reviewed and approved by the individual

with overall responsibility for the security program; and

B) The affected individuals are instructed on the revised plan before

the changes are implemented.

4) The licensee shall retain a copy of the current security plan as a record for

3 years after the security plan is no longer required. If any portion of the

plan is superseded, the licensee shall retain the superseded portion for 3

years after the record is superseded.

b) Implementing Proceduresprocedures.

1) The licensee shall develop and maintain written procedures that document

how the requirements of this Subpart and the security plan will be met.

2) The implementing procedures and revisions to these procedures shall be

approved in writing by the individual with overall responsibility for the

security program.

3) The licensee shall retain a copy of the current procedure as a record for 3

years after the procedure is no longer needed. Superseded portions of the

procedure shall be retained for 3 years after the record is superseded.

c) Training.

1) Each licensee shall conduct training to ensure that those individuals

implementing the security program possess and maintain the knowledge,


18



skills and abilities to carry out their assigned duties and responsibilities

effectively. The training shall include:

A) The licensee's security program and procedures to secure a

category 1 or category 2 quantityquantities of radioactive material

and the purposes and functions of the security measures employed;

B) The responsibility to promptly report to the licensee any condition

that causes or may cause a violation of this Part;

C) The responsibility of the licensee to promptly report to the LLEA

and licensee any actual or attempted theft, sabotage or diversion of

a category 1 or category 2 quantityquantities of radioactive

material; and

D) The appropriate response to security alarms.

2) In determining those individuals who shall be trained on the security

program, the licensee shall consider each individual's assigned activities

during authorized use and response to potential situations involving actual

or attempted theft, diversion or sabotage of a category 1 or category 2

quantityquantities of radioactive material. The extent of the training shall

be commensurate with the individual's potential involvement in the

security of a category 1 or category 2 quantityquantities of radioactive

material.

3) Refresher training shall be provided at a frequency not to exceed 12

months and when significant changes have been made to the security

program. This training shall include:

A) Review of the training requirements of subsection (c) and any

changes made to the security program since the last training;

B) Reports on any relevant security issues, problems and lessons

learned;

C) Relevant results of IEMA inspections; and


18



D) Relevant results of the licensee's program review and testing and

maintenance.

4) The licensee shall maintain records of the initial and refresher training for

3 years from the date of the training. The training records shall include

dates of the training, topics covered, a list of licensee personnel in

attendance and related information.

d) Protection of Informationinformation.

1) Licensees authorized to possess a category 1 or category 2

quantityquantities of radioactive material shall limit access to and

unauthorized disclosure of their security plan, implementing procedures

and the list of individuals that have been approved for unescorted access.

2) Efforts to limit access shall include the development, implementation and

maintenance of written policies and procedures for controlling access to,

and for proper handling and protection against unauthorized disclosure of,

the security plan and implementing procedures.

3) Before granting an individual access to the security plan or implementing

procedures, licensees shall:

A) Evaluate an individual's need to know the security plan or

implementing procedures; and

B) If the individual has not been authorized for unescorted access to a

category 1 or category 2 quantityquantities of radioactive material,

safeguards information or safeguards information − modified

handling, the licensee shall complete a background investigation to

determine the individual's trustworthiness and reliability. A

trustworthiness and reliability determination shall be conducted by

the reviewing official and shall include the background

investigation elements contained in Section 337.1030(a)(2)

through (a)(5), (b) and (c).

4) Licensees need not subject the following individuals to the background

investigation elements for protection of information:


18



A) The categories of individuals listed in Section 337.1050(a)(1)

through (13); or

B) Security service provider employees, ifprovided written

verification that the employee has been determined to be

trustworthy and reliable, by the required background investigation

in Section 337.1030(a)(2) through (a)(5), (b) and (c) has been

provided by the security service provider.

5) The licensee shall document the basis for concluding that an individual is

trustworthy and reliable and should be granted access to the security plan

or implementing procedures.

6) Licensees shall maintain a list of persons currently approved for access to

the security plan or implementing procedures. When a licensee

determines that a person no longer needs access to the security plan or

implementing procedures, or no longer meets the access authorization

requirements for access to the information, the licensee shall remove the

person from the approved list as soon as possible, but no later than 7

business days, and take prompt measures to ensure that the individual is

unable to obtain the security plan or implementing procedures.

7) When not in use, the licensee shall store its security plan and

implementing procedures in a manner designed to prevent unauthorized

access. Information stored in nonremovable electronic form shall be

password protected.

8) The licensee shall retain as a record for 3 years after the document is no

longer needed:

A) A copy of the information protection procedures; and

B) The list of individuals approved for access to the security plan or

implementing procedures.


Section 337.2030 LLEA Coordination


18



a) A licensee subject to this Subpart shall coordinate, to the extent practicable, with

an LLEA for responding to threats to the licensee's facility, including any

necessary armed response. The information provided to the LLEA shall include:

1) A description of the facilities and the category 1 and category 2 quantities

of radioactive materialmaterials, along with a description of the licensee's

security measures that have been implemented to comply with this

Subpart; and

2) A notification that the licensee will request a timely armed response by the

LLEA to any actual or attempted theft, sabotage or diversion of a category

1 or category 2 quantity of radioactivequantities of material.

b) The licensee shall notify IEMA within 3 business days if:

1) The LLEA has not responded to the request for coordination within 60

days of the coordination request; or

2) The LLEA notifies the licensee that the LLEA does not plan to participate

in coordination activities.

c) The licensee shall document its efforts to coordinate with the LLEA. The

documentation shall be kept for 3 years.

d) The licensee shall coordinate with the LLEA at least every 12 months, or when

changes to the facility design or operation adversely affect the potential

vulnerability of the licensee's material to theft, sabotage or diversion.


Section 337.2040 Security Zoneszones

a) Licensees shall ensure that all aggregated category 1 and category 2 quantities of

radioactive material are used or stored within licensee-established security zones.

Security zones may be permanent or temporary.

b) Temporary security zones shall be established as necessary to meet the licensee's

transitory or intermittent business activities, such as periods of maintenance,

source delivery and source replacement.


18



c) Security zones shall, at a minimum, allow unescorted access only to approved

individuals through:

1) Isolation of category 1 and category 2 quantities of radioactive

materialmaterials by the use of continuous physical barriers that allow

access to the security zone only through established access control points.

A physical barrier is a natural or man-made structure or formation

sufficient for the isolation of the category 1 or category 2

quantityquantities of radioactive material within a security zone;

2) Direct control of the security zone by approved individuals at all times; or

3) A combination of continuous physical barriers and direct control.

d) For a category 1 quantityquantities of radioactive material during periods of

maintenance, source receipt, preparation for shipment, installation or source

removal or exchange, the licensee shall, at a minimum, provide sufficient

individuals approved for unescorted access to maintain continuous surveillance of

sources in temporary security zones and in any security zone wherethat physical

barriers or intrusion detection systems have been disabled to allow thosesuch

activities.

e) Individuals not approved for unescorted access to category 1 or category 2

quantityquantities of radioactive material shall be escorted by an approved

individual when in a security zone.


Section 337.2050 Monitoring, Detection and Assessmentdetection, and assessment

a) Monitoring and Detectiondetection.

1) Licensees shall establish and maintain the capability to continuously

monitor and detect, without delay, all unauthorized entries into its security

zones. Licensees shall provide the means to maintain continuous

monitoring and detection capability in the event of a loss of the primary

power source or provide for an alarm and response in the event of a loss of

this capability to continuously monitor and detect unauthorized entries.


18



2) Monitoring and detection shall be performed by:

A) A monitored intrusion detection system that is linked to an onsite

or offsite central monitoring facility;

B) Electronic devices for intrusion detection alarms that will alert

nearby facility personnel;

C) A monitored video surveillance system;

D) Direct visual surveillance by approved individuals located within

the security zone; or

E) Direct visual surveillance by a licensee-designated individual

located outside the security zone.

3) A licensee subject to this Subpart shall also have a means to detect

unauthorized removal of the radioactive material from the security zone.

This detection capability shall provide:

A) For a category 1 quantityquantities of radioactive material,

immediate detection of any attempted unauthorized removal of the

radioactive material from the security zone. ImmediateSuch

immediate detection capability shall be provided by:

i) Electronic sensors linked to an alarm;

ii) ContinuouslyContinuous monitored video surveillance; or

iii) Direct visual surveillance.

B) For a category 2 quantityquantities of radioactive material, weekly

verification through physical checks, tamper indicating devices,

use or other means to ensure that the radioactive material is

present.

b) Assessment.


18



Licensees shall immediately assess each actual or attempted unauthorized entry

into the security zone to determine whether the unauthorized access was an actual

or attempted theft, sabotage or diversion.

c) Personnel Communications and Data Transmissioncommunications and data

transmission.

For personnel and automated or electronic systems supporting the licensee's

monitoring, detection and assessment systems, licensees shall:

1) Maintain continuous capability for personnel communication and

electronic data transmission and processing among site security systems;

and

2) Provide an alternative communication capability for personnel and an

alternative data transmission and processing capability in the event of a

loss of the primary means of communication or data transmission and

processing. Alternative communications and data transmission systems

may not be subject to the same failure modes as the primary systems.

d) Response.

Licensees shall immediately respond to any actual or attempted unauthorized

access to the security zones or actual or attempted theft, sabotage or diversion of a

category 1 or category 2 quantityquantities of radioactive material at licensee

facilities or temporary job sites. For any unauthorized access involving an actual

or attempted theft, sabotage or diversion of a category 1 or category 2

quantityquantities of radioactive material, the licensee's response shall include

requesting, without delay, an armed response from the LLEA.


Section 337.2060 Maintenance and Testing

a) Each licensee subject to this Subpart shall implement a maintenance and testing

program to ensure that intrusion alarms, associated communication systems and

other physical components of the systems used to secure or detect unauthorized

access to radioactive material are maintained in operable condition and are

capable of performing their intended function when needed. The equipment

relied on to meet the security requirements shall be inspected and tested for

operability and performance at the manufacturer's suggested frequency. If there is


18



no suggested manufacturer's suggested frequency, the testing shall be performed

at least annually, not to exceed 12 months.

b) The licensee shall maintain records on the maintenance and testing activities for 3

years.


Section 337.2070 Requirements for Mobile Devices

Each licensee that possesses mobile devices containing a category 1 or category 2

quantityquantities of radioactive material shall:

a) Have two independent physical controls that form tangible barriers to secure the

material from unauthorized removal when the device is not under direct control

and constant surveillance by the licensee; and

b) For devices in or on a vehicle or trailer, unless the health and safety requirements

for a site prohibit the disabling of the vehicle, the licensee shall utilize a method

to disable the vehicle or trailer when not under direct control and constant

surveillance by the licensee. Licensees shall not rely on the removal of an ignition

key to meet this requirement.


Section 337.2080 Security Program Review

a) Each licensee shall be responsible for the continuing effectiveness of the security

program. Each licensee shall ensure that the security program is reviewed to

confirm compliance with the requirements of this Subpart and that comprehensive

actions are taken to correct any noncompliance that is identified. The review shall

include the radioactive material security program content and implementation.

Each licensee shall periodically, not to exceed 12 months, review the security

program content and implementation.

b) The results of the review, along with any recommendations, shall be documented.

Each review report shall identify conditions that are adverse to the proper

performance of the security program and, the cause of the conditions. When, and,

when appropriate, the report shall recommend corrective actions and identify


18



corrective actions taken. The licensee shall review the findings and take any

additional corrective actions necessary to preclude repetition of the condition,

including reassessment of the deficient areas whenwhere indicated.

c) The licensee shall maintain the review documentation for 3 years.


Section 337.2090 Reporting of Events

a) The licensee shall immediately notify the LLEA after determining that an

unauthorized entry resulted in an actual or attempted theft, sabotage or diversion

of a category 1 or category 2 quantity of radioactive material. Immediately after

initiating a response, but not at the expense of causing delay or interfering with

the LLEA response to the event, the licensee shall notify IEMA at (217)782-7860

or (800)782-7860. In no case shall the notification to IEMA be later than one (1)

hour after the discovery of any attempted or actual theft, sabotage or diversion.

b) The licensee shall assess any suspicious activity related to possible theft, sabotage

or diversion of a category 1 or category 2 quantityquantities of radioactive

material and notify the LLEA as appropriate. As soon as possible, but not later

than one (1) hour after notifying the LLEA, the licensee shall notify IEMA at

(217)782-7860 or (800)782-7860.

c) Written Reports. A licensee required to make a notification pursuant to

subsectionsubsections (a) or (b) shall, within 30 days after making the

notification, submit a written report to IEMA regarding the suspicious activity or

the actual or attempted theft, sabotage or diversion. The written report shall

include sufficient information for IEMA analysis and evaluation, including:

1) A description of the source of radiation involved, including the kind,

quantity and chemical and physical form;

2) A description of the circumstances under which the actual or attempted

theft, sabotage or diversion of a category 1 or category 2 quantity of

radioactive material occurred;

3) A statement of disposition, or probable disposition, of the source of

radiation involved;


18



4) Exposures of individuals to radiation, circumstances under which the

exposures occurred, and the possible total effective dose equivalent to

persons in unrestricted areas;

5) Actions that have been taken, or will be taken, to recover the source of

radiation; and

6) Corrective actions taken, or that will be taken, to protect against a

recurrence of a theft, sabotage or diversion of a category 1 or category 2

quantity of radioactive material.

d) Subsequent to filing the written report, the licensee shall also report any

additional substantive information on the actual or attempted theft, sabotage or

diversion of a category 1 or category 2 quantity of radioactive material within 30

days after the licensee learns of thatsuch information.

e) The licensee shall prepare any report filed with IEMA pursuant to this Section so

that names of individuals who may have received exposure to radiation are stated

in a separate and detachable portion of the written report.

AGENCY NOTE: Notification under this Part satisfies the requirements of 32 Ill.

Adm.Admin. Code 340.1205 and 340.1210 for category 1 and category 2 quantities of

radioactive material. Licensees should be aware that there are additional reporting

requirements in 32 Ill. Adm. Code 340.1220 for other events involving radioactive

material.


SUBPART D: PHYSICAL PROTECTION IN TRANSIT

Section 337.3010 Additional Requirements for Transfer of Category 1 and Category 2

Quantities of Radioactive Materialrequirements for transfer of category 1 and category 2

quantities of radioactive material

A licensee transferring a category 1 or category 2 quantity of radioactive material to a licensee of

the NRC or another Agreement State shall meet the license verification provisions listed in this

Sectionbelow instead of those listed in 32 Ill. Adm. Code 330.400.


18



a) Any licensee transferring a category 1 quantityquantities of radioactive material to

a licensee of the NRC or an Agreement State, prior to conducting thatsuch

transfer, shall verify with the NRC's license verification system or the license

issuing authority that the transferee's license authorizes the receipt of the type,

form and quantity of radioactive material to be transferred and that the licensee is

authorized to receive radioactive material at the location requested for delivery. If

the verification is conducted by contacting the license issuing authority, the

transferor shall document the verification. For transfers within the same

organization, the licensee does not need to verify the transfer.

b) Any licensee transferring a category 2 quantityquantities of radioactive material to

a licensee of the NRC or an Agreement State, prior to conducting thatsuch

transfer, shall verify with the NRC's license verification system or the license

issuing authority that the transferee's license authorizes the receipt of the type,

form and quantity of radioactive material to be transferred. If the verification is

conducted by contacting the license issuing authority, the transferor shall

document the verification. For transfers within the same organization, the

licensee does not need to verify the transfer.

c) In an emergency in whichwhere the licensee cannot reach the license issuing

authority and the license verification system is nonfunctional, the licensee may

accept a written certification by the transferee that it is authorized by license to

receive the type, form and quantity of radioactive material to be transferred and

that the licensee is authorized to receive radioactive material at the location

requested for delivery. The certification shall include the license number, current

revision number, issuing authority, expiration date and, for category 1 shipments,

the authorized address. The licensee shall keep a copy of the certification. The

certification shall be confirmed by use of the NRC's license verification system or

by contacting the license issuing authority by the end of the next business day.

d) The transferor shall keep a copy of the verification documentation as a record for

3 years.


Section 337.3020 Applicability of Physical Protection of Category 1 and Category 2

Quantities of Radioactive Material During Transit


18



a) For shipments of a category 1 quantityquantities of radioactive material, each

shipping licensee shall comply with the requirements for physical protection

contained in Sections 337.3030(a) and (e), 337.3040, 337.3050(a)(1), (b)(1) and

(c) and 337.3060(a), (c), (e), (g) and (h).

b) For shipments of a category 2 quantityquantities of radioactive material, each

shipping licensee shall comply with the requirements for physical protection

contained in Sections 337.3030(b) through (e), 337.3050(a)(2), (a)(3), (b)(2) and

(c), and 337.3060(b), (d), (f), (g) and (h). For those shipments of category 2

quantities of radioactive material that meet the criteria of 10 CFR 71.97(b), the

shipping licensee shall also comply with the advance notification provisions of 10

CFR 71.97.

c) The shipping licensee shall be responsible for meeting the requirements of this

Subpart unless the receiving licensee has agreed in writing to arrange for the in-

transit physical protection required under this Subpart.

d) Each licensee that imports or exports a category 1 quantityquantities of

radioactive material shall comply with the requirements for physical protection

during transit contained in Sections 337.3030(a)(2) and (e), 337.3040,

337.3050(a)(1), (b)(1) and (c), and 337.3060(a), (c), (e), (g) and (h) for the

domestic portion of the shipment.

e) Each licensee that imports or exports a category 2 quantityquantities of

radioactive material shall comply with the requirements for physical protection

during transit contained in Sections 337.3050(a)(2), (a)(3) and (b)(2) and

337.3060(b), (d), (f), (g) and (h) for the domestic portion of the shipment.


Section 337.3030 Preplanning and Coordination of Shipment of Category 1 or Category 2


a) Each licensee that plans to transport, or deliver to a carrier for transport, licensed

material that is a category 1 quantity of radioactive material outside the confines

of the licensee's facility or other place of use or storage shall:

1) Preplan and coordinate shipment arrival and departure times with the

receiving licensee;


18



2) Preplan and coordinate shipment information with the governor, or the

governor's designee, of any state through whichthat the shipment will pass

to:

A) Discuss the state's intention to provide law enforcement escorts;

and

B) Identify safe havens; and

3) Document the preplanning and coordination activities.

b) Each licensee that plans to transport, or deliver to a carrier for transport, licensed

material that is a category 2 quantity of radioactive material outside the confines

of the licensee's facility or other place of use or storage shall coordinate the

shipment no-later-than arrival time and the expected shipment arrival with the

receiving licensee. The licensee shall document the coordination activities.

c) Each licensee who receives a shipment of a category 2 quantity of radioactive

material shall confirm receipt of the shipment with the originator. If the shipment

has not arrived by the no-later-than arrival time, the receiving licensee shall notify

the originator.

d) Each licensee who transports or plans to transport a shipment of a category 2

quantity of radioactive material and determines that the shipment will arrive after

the no-later-than arrival time provided pursuant to subsection (b), shall promptly

notify the receiving licensee of the new no-later-than arrival time.

e) The licensee shall retain a copy of the documentation for preplanning and

coordination, and any revision thereof, as a record for 3 years.


Section 337.3040 Advance Notification of Shipment of Category 1 QuantityQuantities of


As specified in subsections (a) and (b), each licensee shall provide advance notification to IEMA

and the governor of a state, or the governor's designee, of the shipment of licensed material in a

category 1 quantity through or across the boundary of the state before the transport, or delivery


18



to a carrier for transport, of the licensed material outside the confines of the licensee's facility or

other place of use or storage.

a) Procedures for Submitting Advance Notificationsubmitting advance notification.

1) The notification shall be made to IEMA and to the office of each

appropriate governor or governor's designee.

A) Notifications for the Governor of the State of Illinois and IEMA

shall be sent to Illinois Emergency Management Agency, ATTN:

Radiological Field Services Unit Supervisor, Bureau of Radiation

Safety, 1301 Knotts StreetAssistant Director, 2200 South Dirksen

Parkway, Springfield IL, Illinois 62703. The notifications for the

Governor of the State of Illinois and IEMA may also be made by

email or by facsimile. For the correct email or facsimile number,

call, prior to sending notification, to (217)782-7860 or (800)782-

7860.

B) The contact information, including telephone and mailing

addresses, of governors and governors' designees, is available on

the NRC's website at

https://scp.nrc.gov/special/designee.pdfhttp://nrc-

stp.ornl.gov/special/designee.pdf. A list of the contact information

is also available upon request from the Director, Division of

Material Safety, State, Tribal, and Rulemaking Programs, Office of

Nuclear Material Safety and SafeguardsIntergovernmental Liaison

and Rulemaking, Office of Federal and State Materials and

Environmental Management Programs, U.S. Nuclear Regulatory

Commission, Washington, DC 20555-0001.

2) A notification delivered by mail shall be postmarked at least 7 calendar

days before transport of the shipment commences at the shipping facility.

3) A notification delivered by any means other than mail must reach IEMA at

least 4 business days before the transport of the shipment commences and

must reach the office of a governor or the governor's designee at least 4

business days before transport of a shipment within or through a state.


18



b) Information to be Furnished in Advance Notification of Shipmentfurnished in

advance notification of shipment.

Each advance notification of shipment of a category 1 quantityquantities of

radioactive material shall contain the following information, if available at the

time of notification:

1) The name, address and telephone number of the shipper, carrier and

receiver of the category 1 radioactive material;

2) The license numbers of the shipper and receiver;

3) A description of the radioactive material contained in the shipment,

including the radionuclides and quantity;

4) The point of origin of the shipment and the estimated time and date that

the shipment will commence;

5) The estimated time and date that the shipment is expected to enter each

state along the route;

6) The estimated time and date of arrival of the shipment at the destination;

and

7) A point of contact, with a telephone number, for current shipment

information.

c) Revision Noticenotice.

1) The licensee shall provide any information not previously available at the

time of the initial notification as soon as the information becomes

available, but not later than commencement of the shipment, to the

governor of each state, or the governor's designee, and to IEMA.

2) A licensee shall promptly notify the governor of each state, or the

governor's designee, of any changes to the information provided in

accordance with subsections (b) and (c)(1). The licensee shall also

immediately notify IEMA of theany such changes.

d) Cancellation Noticenotice.


18



Each licensee thatwho cancels a shipment for whichthat advance notification has

been sent shall send a cancellation notice to the governor of each state, or to the

governor's designee, previously notified and to IEMA. The licensee shall send

the cancellation notice before the shipment would have commenced or as soon

thereafter as possible. The licensee shall state in the notice that it is a cancellation

and identify the advance notification that is being cancelled.

e) Records.

The licensee shall retain a copy of the advance notification and any revision and

cancellation notices as a record for 3 years.

f) Protection of Information.

State officials, State employees and any other individuals, whether or not

licensees of NRC or an Agreement State, who receive schedule information of the

kind specified in subsection (b)Section 337.3040(b) shall protect that information

against unauthorized disclosure as specified in Section 337.2020(d).


Section 337.3050 Requirements for Physical Protection of Category 1 and Category 2

Quantities of Radioactive Material During Shipment

a) Shipments by Roadroad.

1) Each licensee who transports, or delivers to a carrier for transport, in a

single shipment, a category 1 quantity of radioactive material shall:

A) Ensure that movement control centers are established that maintain

position information from a remote location. These control centers

shall monitor shipments 24 hours a day, 7 days a week, and have

the ability to communicate immediately, in an emergency, with the

appropriate law enforcement agencies.

B) Ensure that redundant communications are established that allow

the transport to contact the escort vehicle, when used, and

movement control center at all times. Redundant communications

may not be subject to the same interference factors as the primary

communication.


18



C) Ensure that shipments are continuously and actively monitored by

a telemetric position monitoring system or an alternative tracking

system reporting to a movement control center. A movement

control center shall provide positive confirmation of the location,

status and control over the shipment. The movement control

center shall be prepared to promptly implement preplanned

procedures in response to deviations from the authorized route or a

notification of actual, attempted or suspicious activities related to

the theft, loss or diversion of a shipment. These procedures shall

include, but are not be limited to, the identification of and contact

information for the appropriate LLEA along the shipment route.

D) Provide an individual to accompany the driver for those highway

shipments with a driving time period greater than the maximum

number of allowable hours of service in a 24-hour duty day as

established by the U.S. Department of

Transportation'sTransportation Federal Motor Carrier Safety

Administration. The accompanying individual may be another

driver.

E) Develop written normal and contingency procedures to address:

i) Notifications to the communication center and law

enforcement agencies;

ii) Communication Protocolsprotocols.

Communication protocols thatshall include a strategy for

the use of authentication codes and duress codes and

provisions for refueling or other stops, detours and

locations where communication is expected to be

temporarily lost;

iii) Loss of communications; and

iv) Responses to an actual or attempted theft, loss or diversion

of a shipment.

F) Each licensee who makes arrangements for the shipment of a

category 1 quantityquantities of radioactive material shall ensure


18



that drivers, accompanying personnel and movement control center

personnel have access to the normal and contingency procedures.

2) Each licensee that transports a category 2 quantityquantities of radioactive

material shall maintain constant control and/or surveillance during transit

and have the capability for immediate communication to summon

appropriate response or assistance.

3) Each licensee who delivers to a carrier for transport, in a single shipment,

a category 2 quantity of radioactive material shall:

A) Use carriers that have established package tracking systems. An

established package tracking system is a documented, proven and

reliable system routinely used to transport objects of value. In

order for a package tracking system to maintain constant control

and/or surveillance, the package tracking system shall allow the

shipper or transporter to identify when and where the package was

last and when it should arrive at the next point of control;

B) Use carriers that maintain constant control and/or surveillance

during transit and have the capability for immediate

communication to summon appropriate response or assistance; and

C) Use carriers that have established tracking systems that require an

authorized signature prior to releasing the package for delivery or

return.

b) Shipments by Railrail.



A) Ensure that rail shipments are monitored by a telemetric position

monitoring system or an alternative tracking system reporting to

the licensee, third-party or railroad communications center. The

communications center shall provide positive confirmation of the

location of the shipment and its status. The communications center

shall implement preplanned procedures in response to deviations

from the authorized route or to a notification of actual, attempted


18



or suspicious activities related to the theft, loss or diversion of a

shipment. These procedures shall include, but are not be limited

to, the identification of and contact information for the appropriate

LLEA along the shipment route; and

B) Ensure that periodic reports to the communications center are

made at preset intervals.



A) Use carriers that have established package tracking systems. An

established package tracking system is a documented, proven and

reliable system routinely used to transport objects of value. In

order for a package tracking system to maintain constant control

and/or surveillance, the package tracking system shall allow the

shipper or transporter to identify when and where the package was

last and when it should arrive at the next point of control;

B) Use carriers that maintain constant control and/or surveillance

during transit and have the capability for immediate

communication to summon appropriate response or assistance; and

C) Use carriers that have established tracking systems that require an

authorized signature prior to releasing the package for delivery or

return.

c) Investigations.

Each licensee who makes arrangements for the shipment of a category 1

quantityquantities of radioactive material shall immediately conduct an

investigation upon the discovery that a category 1 shipment is lost or missing.

Each licensee who makes arrangements for the shipment of a category 2

quantityquantities of radioactive material shall immediately conduct an

investigation, in coordination with the receiving licensee, of any shipment that has

not arrived by the designated no-later-than arrival time.


Section 337.3060 Reporting of Events


18



a) The shipping licensee shall notify the appropriate LLEA and IEMA's 24-hour

emergency number at (217)782-7860 or (800)782-7860 within one hour afterof its

determination that a shipment of a category 1 quantityquantities of radioactive

material is lost or missing. The appropriate LLEA would be the law enforcement

agency in the area of the shipment's last confirmed location. During the

investigation required by Section 337.3050(c), the shipping licensee will provide

agreed upon updates on the status of the investigation to the IEMAIEMA's 24-

hour emergency number on the status of the investigation.

b) The shipping licensee shall notify IEMA's 24-hour emergency number (217)782-

7860 or (800)782-7860 within 4 hours afterof its determination that a shipment of

a category 2 quantityquantities of radioactive material is lost or missing. If, after

24 hours afterof its determination that the shipment is lost or missing, the

radioactive material has not been located and secured, the licensee shall

immediately notify IEMA's 24-hour emergency number.

c) The shipping licensee shall notify the designated LLEA along the shipment route,

as soon as possible afterupon discovery of any actual or attempted theft or

diversion of a shipment or suspicious activities related to the theft or diversion of

a shipment of a category 1 quantity of radioactive material. As soon as possible

after notifying the LLEA, the licensee shall notify IEMA's 24-hour emergency

number at (217)782-7860 or (800)782-7860 upon discovery of any actual or

attempted theft or diversion of a shipment, or any suspicious activity related to the

shipment, of a category 1 quantity of radioactive material.

d) The shipping licensee shall notify IEMA's 24-hour emergency number at

(217)782-7860 or (800)782-7860 as soon as possible afterupon discovery of any

actual or attempted theft, or diversion of a shipment, or any suspicious activity

related to the shipment, of a category 2 quantity of radioactive material.

e) The shipping licensee shall notify the LLEA and IEMA's 24-hour emergency

number at (217)782-7860 or (800)782-7860 as soon as possible afterupon

recovery of any lost or missing category 1 quantityquantities of radioactive

material.

f) The shipping licensee shall notify IEMA's 24-hour emergency number at

(217)782-7860 or (800)782-7860 as soon as possible afterupon recovery of any

lost or missing category 2 quantityquantities of radioactive material.


18



g) Written Reports.

Each licensee required to make a notification pursuant to subsections (a) through

(d) shall, within 30 days after making thatthe notification, submit a written report

to IEMA for incidents involving an actual or attempted theft, loss or diversion of

radioactive material. A written report is not required for notifications on

suspicious activities reported pursuant torequired by subsections (c) and (d). The

written report shall include:

1) A description of the licensed material involved, including kind, quantity

and chemical and physical form;

2) A description of the circumstances under which the actual or attempted

loss, theft or diversion occurred;

3) A statement of disposition, or probable disposition, of the licensed

material involved;

4) Actions that have been taken, or that will be taken, to recover the material;

and

5) Corrective actions taken, or will be taken, to ensure against a recurrence of

a loss, theft or diversion of licensed material.

h) Subsequent to filing the written report, the licensee shall also report any

additional substantive information on the actual or attempted loss, theft or

diversion within 30 days after the licensee learns of thesuch information.


SUBPART E: RECORDS

Section 337.5020 Record Retention

Licensees shall maintain the records that are required in this Part for the period specified by the

appropriate section. If a retention period is not otherwise specified, these records shall be

retained until IEMA terminates the facility's license pursuant to 32 Ill. Adm. Code 330.325.

IEMA may, in writing, approve or require a shorter or longer retention period, depending on

whetherif the records are needed to determine compliance.


18




SUBPART F: ENFORCEMENT

Section 337.6010 Resolution of Requirements During Transition Period

If this Part conflicts with the licensee's radiation safety program as identified in its license or

legally binding orders, this Part shall apply, unless the statements, representations, conditions

and procedures in the license are more restrictive. However, if that licensee exercises its

privilege to amend its license, the portion amended must comply with the requirements of this

Part.



18



Section 337.APPENDIXAppendix A Category 1 and Category 2 Radioactive

MaterialMaterials

Table 1 − Category 1 and Category 2 Threshold

The terabecquerel (TBq) values are the regulatory standard. The curie (Ci) values specified are

obtained by converting from the TBq value. The curie values are provided for practical

usefulness only.

Category 1 Category 1 Category 2 Category 2

Radioactive material (TBq) (Ci) (TBq) (Ci)

Americium-241 60 1,620 0.6 16.2

Americium-241/Be 60 1,620 0.6 16.2

Californium-252 20 540 0.2 5.40

Cobalt-60 30 810 0.3 8.10

Curium-244 50 1,350 0.5 13.5

Cesium-137 100 2,700 1 27.0

Gadolinium-153 1,000 27,000 10 270

Iridium-192 80 2,160 0.8 21.6

Plutonium-238 60 1,620 0.6 16.2

Plutonium-239/Be 60 1,620 0.6 16.2

Promethium-147 40,000 1,080,000 400 10,800

Radium-226 40 1,080 0.4 10.8

Selenium-75 200 5,400 2 54.0

Strontium-90 1,000 27,000 10 270

Thulium-170 20,000 540,000 200 5,400

Ytterbium-169 300 8,100 3 81.0

Note: Calculations Concerning Multiple Sources or Multiple Radionuclides

The "sum of fractions" methodology for evaluating combinations of multiple sources or

multiple radionuclides is to be used in determining whether a location meets or exceeds

the threshold and is thus subject to the requirements.

I. If multiple sources of the same radionuclide and/or multiple radionuclides are

aggregated at a location, the sum of the ratios of the total activity of each of the

radionuclides shall be determined to verify whether the activity at the location is

less than the category 1 or category 2 thresholds of Table 1, as appropriate. If the


18



calculated sum of the ratios, using the equation below, is greater than or equal to

1.0, then the applicable requirements apply.

II. First determine the total activity for each radionuclide from Table 1. This is done

by adding the activity of each individual source, material in any device, and any

loose or bulk material that contains the radionuclide. Then use the equation below

to calculate the sum of the ratios by inserting the total activity of the applicable

radionuclides from Table 1 in the numerator of the equation and the

corresponding threshold activity from Table 1 in the denominator of the equation.

Calculations shall be performed in metric values (i.e., TBq) and the numerator

and denominator values shall be in the same units.

0.12

2

1

1

1

N

ARN

RN

AR

R

AR

R

where:


R1 = total activity for radionuclide 1

R2 = total activity for radionuclide 2

RN = total activity for radionuclide n

AR1 = activity threshold for radionuclide 1

AR2 = activity threshold for radionuclide 2

ARN = activity threshold for radionuclide n


18



1) Heading of the Part: Radioactive Materials Transportation



341.10 Amendment

4) Statutory Authority: Implementing and authorized by Section 10, 11, 11.5 and 12 of the

Radiation Protection Act of 1990 [420 ILCS 40/10, 11, 11.5 and 12], and Section 9 of the

Illinois Low-Level Radioactive Waste Management Act [420 ILCS 20/9] and by Section

70 of the Nuclear Safety Law of 2004 [20 ILCS 3310/70].

5) A Complete Description of the Subjects and Issues Involved: The Agency is proposing

to amend a date reference and add an exemption in Section 341.10 to be consistent with

10 CFR 30 and 71 and maintain compatibility with the U. S. Nuclear Regulatory

Commission pursuant to RATS ID 2013-1 (published at 78 FR 16922 March 19, 2013)

and 2015-3 (published at 80 FR 33987 June 12, 2015 and 80 FR 48683 August 14, 2015).

Section 31 of the Radiation Protection Act of 1990 [420 ILCS 40/31] provides that IEMA

is exempt from rulemaking procedures in the Illinois Administrative Procedure Act when

regulations that are identical in substance are necessary to implement, secure, or maintain

federal authorization for a program. After consideration of comments from the

appropriate federal agency, the Agency may adopt the verbatim text of the laws,

regulations, or orders as necessary and appropriate for authorization or maintenance of

the program. Because this rulemaking is not subject to the Illinois Administrative

Procedure Act, and in accordance with Section 31, this rulemaking will become effective

following the first notice period immediately upon filing for adoption with the Secretary

of State or at a date required or authorized by the relevant federal laws, regulations, or

orders as stated in the notice of the rulemaking, and shall be published in the Illinois

Register.



None




18



9) Does this rulemaking contain incorporations by reference? Yes


11) Statement of Statewide Policy Objective: The requirements imposed by the proposed

rulemaking are not expected to require local governments to establish, expand or modify

their activities in such a way as to necessitate additional expenditures from local

revenues.






Traci Burton, Paralegal Assistant




217/785-9860



affected: The Agency believes that this rulemaking will have no direct impact on

any small businesses, small municipalities or not for profit corporations.






18



TITLE 32: ENERGY



PART 341

RADIOACTIVE MATERIALS TRANSPORTATION

Section

341.10 Scope

341.20 Incorporations by Reference

341.25 Definitions

341.30 General License

341.40 Records

341.50 Reports

AUTHORITY: Implementing and authorized by Section 10, 11, 11.5 and 12 of the Radiation

Protection Act of 1990 [420 ILCS 40/10, 11, 11.5 and 12], and Section 9 of the Illinois Low-

Level Radioactive Waste Management Act [420 ILCS 20/9], and by Section 70 of the Nuclear

Safety Law of 2004 [20 ILCS 3310/70].

SOURCE: Adopted at 10 Ill. Reg. 17616, effective September 25, 1986; amended at 11 Ill. Reg.

5219, effective March 13, 1987; amended at 12 Ill. Reg. 2434, effective January 15, 1988;

amended at 18 Ill. Reg. 4196, effective March 3, 1994; recodified from the Department of

Nuclear Safety to the Illinois Emergency Management Agency at 27 Ill. Reg. 13641; old Part

repealed and new Part adopted at 29 Ill. Reg. 6911, effective May 2, 2005; amended at 30 Ill.

Reg. 9160, effective April 28, 2006; amended at 39 Ill. Reg. 9928, effective July 1, 2015;

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

Section 341.10 Scope

a) This Part applies to each licensee who transports licensed material outside the site

where the licensee is authorized to possess and use the material or who transports

the material on public highways or who delivers the material to a carrier for

transport. The licensee shall comply with the regulations in this Part, the

applicable requirements of the U.S. Nuclear Regulatory Commission (NRC) in 10

CFR 71, in effect as of July 13, 2015November 14, 2014, exclusive of subsequent

amendments or editions, and the applicable requirements of the U.S. Department

of Transportation (USDOT) regulations appropriate to the mode of transport in 49


18



CFR 170-189, in effect as of July 13, 2015November 14, 2014, exclusive of

subsequent amendments or editions.

b) When the licensee is not in areas under the jurisdiction of USDOT or NRC, but is

in an area of jurisdiction of the State of Illinois as described in subsection (a) of

this Section, the licensee shall comply with the following portions of USDOT and

NRC regulations, as applicable:

1) Packaging, 49 CFR 173, subparts A, B and I;

2) Marking and labeling, 49 CFR 172, subpart D, paragraphs 172.400-

172.407, 172.436-172.440 and subpart E;

3) Placarding, 49 CFR 172, subpart F, paragraphs 172.500-172.519 and

172.556; and appendices B and C;

4) Shipping papers and emergency information, 49 CFR 172, subparts C and

G;

5) Accident reporting, 49 CFR 171.15 and 171.16;

6) Hazardous material shipper/carrier requirements, 49 CFR 107, subpart G;

7) Hazardous material employee training, 49 CFR 172, subpart H;

8) Definitions, 10 CFR 71.4;

9) Transportation of licensed material, 10 CFR 71.5;

10) Exemptions for low level material, 10 CFR 71.14(a);

11) General license: NRC-approved package, 10 CFR 71.17;

12) Previously approved package, 10 CFR 71.19(a) and (b);

13) General license: USDOT specification container material, 10 CFR 71.20;

14) General license: Use of foreign approved package, 10 CFR 71.21;


18



15) General license: Fissile material, 10 CFR 71.22;

16) External radiation standards for all packages, 10 CFR 71.47;

17) Assumptions as to unknown properties, 10 CFR 71.83;

18) Preliminary determinations, 10 CFR 71.85;

19) Routine determinations, 10 CFR 71.87;

20) Air transportation of plutonium, 10 CFR 71.88;

21) Opening instructions, 10 CFR 71.89;

22) Advance notification of shipment of irradiated reactor fuel and nuclear

waste, 10 CFR 71.97;

23) Quality assurance requirements, 10 CFR 71.101(a), (b), (c), (f) and (g);

24) Quality assurance organization, 10 CFR 71.103;

25) Quality assurance program, 10 CFR 71.105; and

26) Determination of A1 and A2, 10 CFR 71, appendix A.

c) The licensee shall also comply with USDOT regulations pertaining to the

following modes of transportation:

1) Rail, 49 CFR 174, subparts A-D and K;

2) Air, 49 CFR 175;

3) Vessel, 49 CFR 176, subparts A-F and M; and

4) Public highway, 49 CFR 177 and 390-397.

d) If USDOT regulations are not applicable to a shipment of licensed material as

described in subsection (a), the licensee shall conform to the standards and

requirements of USDOT specified in subsection (a) to the same extent as if the


18



shipment or transportation were subject to USDOT regulations. A request for

modification, waiver or exemption from those requirements, and any notification

referred to in those requirements, must be filed with, or made to, the Agency.

e) Common and contract carriers, freight forwarders, warehousemen and the U.S.

Postal Service are exempt from the requirements for a license set forth in 420

ILCS 40/10, 11 and 12 and in 32 Ill. Adm. Code 330, 335, 337, 346, 350 and 351

to the extent that they transport or store byproduct material in the regular course

of carriage for another or storage incident to that carriage.



18



1) Heading of the Part: Status Signals for Nuclear Power Reactors



504.20 Amendment

504.40 Amendment

504.50 Amendment

504.70 Amendment

4) Statutory Authority: Implementing and authorized by Section 8(c) of the Illinois Nuclear

Safety Preparedness Act [420 ILCS 5/8(c)].

5) A Complete Description of the Subjects and Issues Involved: IEMA is proposing to

amend Part 504 to update definitions to current language and change timeframes to more

accurately reflect current process.


used when composing this rulemaking, in accordance with 1 Ill. Adm. Code 100.335: No

studies or reports were used in drafting this amendment to 32 Ill. Adm. Code 504





11) Statement of Statewide Policy Objective: The requirements imposed by this

proposed rulemaking are not expected to require local governments to establish, expand

or modify their activities in such a way as to necessitate additional expenditures from

local revenues.


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





18



Traci Burton

Paralegal Assistant




217/785-9860



affected: This proposed rulemaking does not affect these three entities.



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



18



TITLE 32: ENERGY


SUBCHAPTER c: NUCLEAR FACILITY SAFETY

PART 504

STATUS SIGNALS FOR NUCLEAR POWER REACTORS

Section

504.10 Policy and Scope

504.20 Definitions

504.30 Protocol for Data Transmissions

504.40 Equipment

504.50 Updating Station Catalogues and System Status Signals Catalogue

504.60 Implementation of System Status Signals Catalogue

504.70 Availability

AUTHORITY: Implementing and authorized by Section 8(c) of the Illinois Nuclear Safety

Preparedness Act [420 ILCS 5].

SOURCE: Adopted at 16 Ill. Reg. 11544, effective July 7, 1992; recodified from the

Department of Nuclear Safety to the Illinois Emergency Management Agency at 27 Ill. Reg.

13641; amended at 33 Ill. Reg. 2254, effective January 23, 2009; amended at 42 Ill. Reg.

______, effective ____________.


As used in this Part, the following definitions will apply:

"Agency" means the Illinois Emergency Management Agency.

"Communication Link" means the network connectiontelephone line or other

connection between the Agency supplied communication hardwaremodem on the

owner's premises to the Agency's headquarters in Springfield, Illinois.

"Owner" means the owner and operator of the nuclear power reactor.

"Point" means the system parameter being monitored.

"RDL" means the Reactor Data Link for a reactor. The RDL includes the entire


18



system by which the owner provides and the Agency receives a System Status

Signals Catalogue at the Agency's headquarters in Springfield, Illinois.

"RDL outage" means any breakdown in the RDL that prevents the normal

continuous data transmission of the System Status Signals Catalogue to the

Agency's headquarters in Springfield, Illinois.

"Reactor" means a nuclear power reactor.

"Station Catalogue" means the complete and inclusive list of all computer

monitored points available for transmission from a nuclear power station from

which the System Status Signals Catalogue for each reactor is chosen.

"Station Computer" means the computer or computers thatwhich collect and

transfer data to the Agency's communication hardwaremodems.

"System Status Signals Catalogue" means the points selected by the Agency from

the Station Catalogue to be transmitted over the Communications Link. A System

Status Signals Catalogue is selected for each reactor.


Section 504.40 Equipment

a) The Agency shall provide communication hardwarea modem to the owner and

shall establish a Communication Link. All Agency owned equipment shall be

maintained by the Agency.

b) Agency personnel and agents shall have access to all Agency equipment located

at the nuclear station site, subject to any security requirements imposed by law,

regulation, or normal security practices of the owner, including Fitness-For-Duty

requirements.

c) The owner shall provide and maintain necessary hardware and software at its

reactor site to communicate via the Agency supplied communication

hardwaremodem.



18



Section 504.50 Updating Station Catalogues and System Status Signals Catalogue

a) For each point included in the Station Catalogue, the Station Catalogue shall

contain, as a minimum, the name of the point; a description of each parameter

(point) measured, sensed or calculated; the units of measure for analog points; the

state indication for digital points, e.g., open or closed, on or off; and the type of

point, e.g., analog or digital.

b) On the effective date of this Part, the Agency will consider the current Station

Catalogue for each nuclear power station to be the most recent Station Catalogue

that was provided the Agency pursuant to the prerulemaking arrangement

between the owner and the Agency.

c) The owner shall provide the Agency an updated Station Catalogue for each

nuclear power station at six month180 day intervals. In the event that the Station

Catalogue remained unchanged, the owner shall notify the Agency that no

changes were made, in lieu of providing an updated Station Catalogue. The end

of each six month180 day interval shall be consistent with the end of the

prerulemaking six month180 day interval already in effect for the owner under the

prerulemaking arrangement between the owner and the Agency. The Agency

may lengthen the Station Catalogue submission interval at any time.

d) Within 14 calendar days after receipt of an updated Station Catalogue, the Agency

shall provide the owner with notice of any changes to the System Status Signals

Catalogue.

e) The Agency shall select points for the System Status Signals Catalogue from the

updated Station Catalogue using the following criteria:

1) those points by which the off-site radiological consequences can be

determined;

2) those points by which challenges to, and failures of, the clad, the primary

boundary, and the containment structures can be determined;

3) those points by which short and long-term decay heat removal capabilities

can be determined; or

4) those points by which on and off-site station electrical power status can be


18



determined.


Section 504.70 Availability

a) Each owner shall transmit a System Status Signals Catalogue for each reactor

over a Communications Link continuously 24 hours a day during all modes of

reactor operation (including defueled conditions) as well as throughout accident

and subsequent recovery operations, except during planned station computer and

RDL system outages or unplanned station computer and RDL system outages

beyond the control of the owner. The owner shall establish measures to assure

that unplanned RDL system outages are promptly identified and corrected and

that the root cause of the RDL outage is determined and corrective action taken to

preclude repetition whenwhere appropriate.

b) In the event of an RDL outage, or station computer outage, the owner, when

required by the Agency, shall establish a point of technical contact with the

Agency to communicate reactor status information until the RDL is restored.

c) In the event of a planned or unplanned station computer outage, data transmission

to the Agency shall be restored as soon as possible after the station computer's

return to service.

d) The Agency's access to the System Status Signals Catalogue shall not be

intentionally degraded by the owner's computer usage unless thatsuch usage is

necessary to protect public health and safety as required under the Nuclear

Regulatory Commission license, and the degradationdegration of access cannot be

avoided.



18

DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES


1) Heading of the Part: Medical Payment



140.452 Amendment

140.453 Amendment

140.454 Amendment

140.455 Amendment

140.456 Amendment

140.460 Amendment

140.499 New Section

140.TABLE N New Section

140.TABLE O New Section

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 rulemaking:

delineates Medicaid Community-based Mental Health Services within the Medical

Payment Subpart of the Department's administrative rules; clarifies staff qualifications,

provider types and service definitions for Community-based Mental Health Services;

outlines program approval requirements and standards for several Medicaid Community-

based Mental Health Services; and includes administrative updates to accommodate these

changes.

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 Citation:

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



18




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





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

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

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

140.417 Amendment 42 Ill. Reg. 27; January 5, 2018

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

government.

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

Any interested parties may submit comments, data, views, or arguments concerning this

proposed rulemaking. All comments must be in writing and should be addressed to:

Christopher Gange

Acting General Counsel

Illinois Department of Healthcare and Family Services

201 South Grand Avenue East, 3rd Floor

Springfield IL 62763-0002

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].


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

affected: None



18




14) Regulatory Agenda on which this rulemaking was summarized: This rulemaking was

included in the July 2016 Regulatory Agenda.



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

Program

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


18



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

Section

140.80 Hospital Provider Fund

140.82 Developmentally Disabled Care Provider Fund

140.84 Long Term Care Provider Fund


18



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)

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)


18



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

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


18



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 Community-based Mental Health Providers Qualified for PaymentServices

140.453 Community-based Mental Health Service Definitions and Professional

Qualifications

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

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


18



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

140.499 Behavioral Health Clinic

SUBPART E: GROUP CARE

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


18



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

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


18



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)

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


18



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)

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)


18



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)


140.932 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)

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


18



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

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


18



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)

140.TABLE N Program Approval for Specified Behavioral Health Services

140.TABLE O Criteria for Participation as a Behavioral Health Clinic

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


18



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,


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;

amended at 11 Ill. Reg. 2323, effective January 16, 1987; amended at 11 Ill. Reg. 4002, effective

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

amended at 11 Ill. Reg. 4303, effective March 6, 1987; amended at 11 Ill. Reg. 7664, effective

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.


18



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

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,


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


18



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

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.


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.


18



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.

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;


18



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

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,


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;




18



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

amended at 27 Ill. Reg. 768, effective January 3, 2003; amended at 27 Ill. Reg. 3041, effective

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;


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

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


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;


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;



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


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 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,


18



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,

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


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 140.452 Community-based Mental Health Providers Qualified for

PaymentServices

a) Payment maywill be made for community-based mental health services provided

by providers enrolled in the Illinois Medical Assistance Program as:

1) A Community Mental Health Center. Community Mental Health Center


18



shall mean an entity certified by the Department, or its agent, pursuant

toas being in compliance with standards set forth in 59 Ill. Adm. Code

132; or

2) A Behavioral Health Clinic, pursuant to Section 140.499; orcertified as

being compliant with standards set forth in 59 Ill. Adm. Code 132 and

under a multi-agency contract with the Department, DCFS and DHS to

provide Screening, Assessment and Support Services (SASS).

3) An Independent Practitioner defined as:

A) A Licensed Clinical Psychologist, pursuant to 89 Ill. Adm. Code

140.423(a);

B) A Licensed Clinical Social Worker, pursuant to 89 Ill. Code

140.424(a); or

C) A psychiatrist, defined as a physician licensed under the Medical

Practice Act of l987 who has successfully completed a training

program in psychiatry approved by the Accreditation Council for

Graduate Medical Education (ACGME) or other training program

identified as equivalent by the Department.

b) To receive payment for community-based mental health services, providers must

be enrolled for participation in the Medical Assistance Program, pursuant to

Sections 140.11 and 140.12.

c) Community Mental Health Centers may receive reimbursement for all services

described in Section 140.453.

d) Behavioral Health Clinics may receive reimbursement only for services described

in the following subsections of Section 140.453: Assessment and Treatment

Planning (Section 140.453(d)(1)); Community Support Services (Section

140.453(d)(2)(A)); Intensive Outpatient (Section 140.453(d)(2)(B)); Medication

Administration (Section 140.453(d)(2)(C)); Medication Monitoring (Section

140.453(d)(2)(D)); Medication Training (Section 140.453(d)(2)(E));

Therapy/Counseling (Section 140.453(d)(2)(G)); MRO Crisis Services (Section

140.453(d)(3)); Community Support Team (Section 140.453(d)(4)(B)); and

Targeted Case Management (Section 140.453(e)).


18



e) Independent Practitioners may receive reimbursement only for the following

services: Assessment and Treatment Planning (Section 140.453(d)(1));

Therapy/Counseling (Section 140.453(d)(2)(G)); and MRO Crisis Services

(Section 140.453(d)(3)).


Section 140.453 Community-based Mental Health Service Definitions and Professional

Qualifications

a) Inter-Departmental Collaboration and Administration. The Department of Human

Services-Division of Mental Health (DHS-DMH) and the Department of Children

and Family Services (DCFS), pursuant to an executed interagency agreement,

shall ensure the administration and coordination of mental health services.

b) Community-based Mental Health Professional Qualifications. All individuals

qualified under this Section to provide services shall only provide the services

listed in this Section within their scope of practice, as defined or by federal or

state law, regulation or policy.

1) All professional definitions provided in this subsection (b) are only

applicable to services detailed in this Section.

2) Independent Practitioner (IP). An IP, as defined by Section 140.452(a)(3),

may receive direct reimbursement for services pursuant to Section

140.452(e). All other credentialed staff detailed in this Section must be

employees of a Community Mental Health Center or Behavioral Health

Clinic that may qualify for reimbursement for the services provided.

3) Licensed Practitioner of the Healing Arts (LPHA). An LPHA is defined

as:

A) A physician who holds a valid license in the state of practice and is

legally authorized under state law or rule to practice medicine in

all its branches, so long as that practice is not in conflict with the

Medical Practice Act of l987;


18



B) An advanced practice nurse with psychiatric specialty that holds a

valid license in the state of practice and is legally authorized under

state law or rule to practice as an advanced practice nurse, so long

as that practice is not in conflict with the Illinois Nurse Practice

Act or the Medical Practice Act of 1987;

C) A clinical psychologist who holds a valid license in the state of

practice and is legally authorized under state law or rule to practice

as a clinical psychologist, so long as that practice is not in conflict

with the Clinical Psychologist Licensing Act;

D) A licensed clinical professional counselor possessing a master's

degree who holds a valid license in the state of practice and is

legally authorized under state law or rule to practice as a licensed

clinical professional counselor, so long as that practice is not in

conflict with the Professional Counselor and Clinical Professional

Counselor Licensing Act [225 ILCS 107];

E) A marriage and family therapist who holds a valid license in the

state of practice and is legally authorized under state law or rule to

practice as a marriage and family therapist, so long as that practice

is not in conflict with the Marriage and Family Therapist Licensing

Act [225 ILCS 55];

F) A clinical social worker possessing a master's or doctoral degree

who holds a valid license in the state of practice and is legally

authorized under state law or rule to practice as a social worker, so

long as that practice is not in conflict with the Clinical Social Work

and Social Work Practice Act.

4) Qualified Mental Health Professional (QMHP). A QMHP is defined as

one of the following:

A) Any individual identified as an LPHA in subsection (b)(3);

B) A registered nurse who holds a valid license in the state of

practice, is legally authorized under state law or rule to practice as

a registered nurse, so long as that practice is not in conflict with the

Illinois Nurse Practice Act, and has training in mental health


18



services or one year of clinical experience, under supervision, in

treating problems related to mental illness, or specialized training

in the treatment of children and adolescents.

C) An occupational therapist who holds a valid license in the state of

practice and is legally authorized under state law or rule to practice

as an occupational therapist, so long as that practice is not in

conflict with the Illinois Occupational Therapy Practice Act [225

ILCS 75] with at least one year of clinical experience in a mental

health setting. In the event the state of practice does not provide a

legal authority for licensure, the individual must meet the

requirements of 42 CFR 484.4 for an occupational therapist.

D) An individual possessing a master's or doctoral degree in

counseling and guidance, rehabilitation counseling, social work,

psychology, pastoral counseling, family therapy, or a related field

and has:

i) Successfully completed 1,000 hours of practicum and/or

internship under clinical and educational supervision; or

ii) One year of documented clinical experience under the

supervision of a QMHP.

5) Mental Health Professional (MHP)

A) An MHP is defined as one of the following:

i) Any individual identified as a QMHP in subsection (b)(4);

or

ii) An individual meeting the following qualifications,

delivering services under the supervision of a QMHP:

An individual possessing a bachelor's degree in

counseling and guidance, rehabilitation counseling,

social work, education, vocational counseling,

psychology, pastoral counseling, family therapy, or

related human service field;


18



An individual possessing a bachelor's degree in any

field, other than those identified in subsection

(b)(4)(D), with two years of documented clinical

experience in a mental health setting under the

supervision of a QMHP;

A practical nurse who holds a valid license in the

state of practice and is legally authorized under state

law or rule to practice as a practical nurse, so long

as that practice is not in conflict with the Illinois

Nurse Practice Act;

An individual possessing a certificate of psychiatric

rehabilitation from a DHS-approved program, plus

a high school diploma or GED, plus two years'

documented experience in providing mental health

services;

A recovery support specialist with a current

certification from the Illinois Alcohol and Other

Drug Abuse Professional Certification Association,

Inc.;

A family partnership professional with current

certification from the Illinois Alcohol and Other

Drug Abuse Professional Certification Association,

Inc.;

An occupational therapy assistant with at least one

year of experience in a mental health setting that

holds a valid license in the state of practice and is

legally authorized under state law or rule to practice

as an occupational therapist assistant, so long as that

practice is not in conflict with the Illinois

Occupational Therapy Practice Act. In the event

the state of practice does not provide a legal

authority for licensure, the individual must meet the


18



requirements of 42 CFR 484.4 for an occupational

therapist; or

An individual with a high school diploma or GED

and a minimum of five years documented clinical

experience in mental health or human services.

B) Any individual designated as an MHP prior to July 1, 2011 shall

retain that designation throughout the continual course of his/her

employment. In the event that the individual leaves the current

employer, the designation is no longer valid.

6) Rehabilitative Services Associate (RSA). An RSA is defined as one of the

following:

A) Any individual identified as a QMHP in subsection (b)(4); or

B) An individual meeting the following qualifications, delivering

services under the supervision of a QMHP:

i) Any individual identified as an MHP in subsection (b)(5);

or

ii) Any individual who is 21 years of age and demonstrates all

of the following:

• Skill in the delivery of rehabilitative services to

adults or children;

• The ability to work within a provider agency's

structure and accept supervision; and

• The ability to work constructively with individuals

receiving services, other providers of service, and

the community.

c) Service Reimbursements. The services detailed in subsections (d) and (e) may be

eligible for reimbursement pursuant to the Department's published fee schedule

when the services are:


18



1) Recommended by an LPHA or IP, operating within his/her scope of

practice. Unless otherwise noted in this Section, the term services

"recommended by an LPHA or IP" shall mean:

A) The services of Assessment and Treatment Planning performed by

an LPHA or IP to determine an individual's potential clinical need

for services; or

B) Those services identified by the LPHA or IP following the

completion of an Assessment and Treatment Plan;

2) Provided to an individual for the maximum reduction of mental disability

and restoration to the best possible functional level in accordance with 42

CFR 440.130. A mental disability, for the purposes of receiving services

under this Section is established as follows:

A) The identification of a diagnosis in accordance with subsection

(d)(1)(A)(i) (Assessment) and treatment recommendations by the

LPHA or IP following the completion of the Assessment and

Treatment Plan; or

B) For children under age 21 who do not meet the criteria listed in

subsection (c)(2)(A), the identification of more than one

documented criterion for a mental disorder listed in the Diagnostic

and Statistical Manual of Mental Disorders (DSM-5), a

documented impact on the child's functioning in more than one life

domain, and treatment recommendations by the LPHA or IP

following the completion of the Assessment and Treatment Plan;

3) Provided consistent with any service limitations, utilization controls, and

prior authorizations established by the Department. All prior

authorizations for the services detailed in this Section shall be completed

by the Department or its approved agent; and

4) Provided for the direct benefit of the individual, which may include

support provided to immediate family members or other persons of

immediate significance to the eligible individual.


18



d) Medicaid Rehabilitation Option (MRO). The following services are established

as qualified mental health services under section 1905(a)(13)(C) of the Social

Security Act (42 USC 1396d(19)).

1) Assessment and Treatment Planning

A) Assessment. Assessment means a formal process of gathering

information regarding an individual's mental and physical status

and presenting problems through direct contact with the individual

and collaterals, resulting in the identification of the individual's

mental health service needs. The service of Assessment includes

establishing a diagnosis, treatment recommendations, and level of

care determinations for service delivery and shall result in an initial

or updated Assessment Report.

i) Assessment services may provide or determine a definitive

or provisional diagnosis pursuant to DSM-5 or the

International Classification of Diseases, 10th Revision –

Clinical Modification (ICD-10). In the event that a rule-out

diagnosis is utilized, the Assessment Report must contain

documentation as to what additional diagnostic assessment

activities will occur in order to provide a definitive

diagnosis. A definitive diagnosis shall be determined within

90 days after the completion of the Assessment Report.

ii) The Assessment Report shall be reviewed, approved and

signed by the LPHA or IP.

iii) At a minimum, the Assessment Report is updated at least

every 12 months.

iv) The Assessment may also include:

• Clinical assessment activities, performed by, or

under the supervision of, an LPHA or IP using a

nationally standardized assessment instrument

resulting in a written report or documented outcome

that includes the identification of a clinical issue or


18



tentative diagnosis to assist in the completion of the

initial or updated Assessment Report;

• Psychological testing activities, provided in

accordance with the Clinical Psychologist Licensing

Act and using a nationally standardized

psychological assessment instrument, resulting in a

written report that includes the identification of

issues, tentative diagnosis and recommendations for

treatment or services; and

• The completion of the Level of Care Utilization

System (LOCUS) activities.

v) Assessment services may be provided:

• By a Community Mental Health Center, Behavioral

Health Clinic, or Independent Practitioner;

• At all service locations and settings deemed

appropriate for reimbursement, as detailed in the

Department's published fee schedule;

• On an individual basis;

• By an MHP, QMHP, LPHA; and

• By video, phone or face-to-face contact,

notwithstanding the restriction on services provided

via phone in Sections 140.6(n) and 140.403.

B) Treatment Plan Development. A process, based upon the

Assessment Report and any additional evaluations, that results in a

written Treatment Plan developed with the participation of the

individual and the individual's parent or guardian, if applicable.

The Treatment Plan is client focused; it defines the specific

services to be provided, the individual's goals for those services,

and the staff responsible for delivering the services; and it may

include updating and modifications.


18



i) The individual's written Treatment Plan will include a

diagnosis, pursuant to subsection (d)(1)(A)(i).

ii) The individual's Treatment Plan shall be reviewed,

approved, and signed by the LPHA or IP.

iii) At a minimum, the individual's Treatment Plan shall be

updated at least every six months.

iv) The individual and, if applicable, the individual's parent or

guardian, will sign the written Treatment Plan to document

their participation in development with the plan.

v) The individual and the individual's parent or guardian, if

applicable, will be offered a complete copy of their

Treatment Plan upon completion or revision.

vi) Treatment Plan services may be provided:







• By an MHP, QMHP, LPHA; and




2) General MRO Services

A) Community Support Services. Community Support Services shall

consist of therapeutic interventions that facilitate illness self-


18



management, identification and use of natural supports, and skill

building.

i) Community Support Services includes: engaging the

individual to have input into his/her service delivery and

recovery process; development of relapse prevention

strategies and plans; assistance in development of

functional, interpersonal and community coping skills

(including adaptation to home, school, family and work

environments); and skill-building related to symptom self-

monitoring. Community Support Services may include an

evidence-informed approach to skills training.

ii) Community Support Services may only be provided:

• By a Community Mental Health Center or

Behavioral Health Clinic;




• In an individual or group modality;

• By an RSA, MHP, QMHP, LPHA; and




B) Intensive Outpatient (IO) Services. Intensive Outpatient Services

are scheduled group therapeutic sessions made available for at

least four hours per day, five days per week, for individuals at risk

of, or with a history of, psychiatric hospitalization.

i) IO Services may only be provided:




18



• Through programs approved pursuant to Table N;




• By a QMHP;

• In a group modality; and

• On a face-to-face basis.

ii) IO services may be subject to prior authorization, pursuant

to Section 140.40.

C) Medication Administration. Medication Administration consists of

preparing the individual and the medication for administration and

observing the individual for possible adverse reactions.

Medication Administration services may only be provided:

i) By a Community Mental Health Center or Behavioral

Health Clinic;

ii) At all service locations and settings deemed appropriate for

reimbursement, as detailed in the Department's published

fee schedule;

iii) On an individual basis;

iv) By face-to-face contact; and

v) By staff that hold a valid license in the state of practice and

are legally authorized under state law or rule to administer

medication, so long as that practice is not in conflict with

the Illinois Nurse Practice Act or the Medical Practice Act

of 1987 (e.g., a physician, a psychiatrist, advanced practice

nurse, registered nurse or a practical nurse).


18



D) Medication Monitoring. Medication Monitoring includes

observation, evaluation and discussion of target symptoms

responses, adverse effects, laboratory results, tardive dyskinesia

screens, and new target symptoms or medications. Medication

Monitoring services may only be provided:


Health Clinic;



fee schedule;

iii) On an individual basis;

iv) By an RSA, MHP, QMHP or LPHA, as designated in

writing to provide the service by staff that hold a valid

license in the state of practice and are legally authorized

under state law to prescribe medication pursuant to the

Illinois Nurse Practice Act or the Medical Practice Act of

1987; and

v) By video or face-to-face contact, notwithstanding the

restriction on services provided via phone in Sections

140.6(n) and 140.403. Phone consultation is allowed only

when a client is experiencing adverse symptoms and phone

consultation with another professional is necessary.

E) Medication Training. Medication Training includes training

individuals on self-administration and safeguarding of medication

and communication with other professionals, family or caregivers

on medication issues. Medication Training services may only be

provided:


Health Clinic;


18





fee schedule;

iii) In an individual or group modality;

iv) By video or face-to-face contact; and

v) By an RSA, MHP, QMHP or LPHA, as designated in

writing to provide the service by staff that hold a valid

license in the state of practice and are legally authorized

under state law to prescribe medication pursuant to the

Illinois Nurse Practice Act or the Medical Practice Act of

1987.

F) Psychosocial Rehabilitation (PSR). PSR shall be rehabilitative

therapy for individuals designed to increase abilities and resources

necessary for community living, socialization, work and recovery.

Core activities include cognitive-behavioral interventions, problem

solving, interventions to reduce or ameliorate symptoms of a co-

occurring disorder and other rehabilitative interventions. PSR is

provided in an organized program through individual and group

interventions. The focus of treatment interventions includes

capacity building to facilitate independent living and adaptation,

problem solving and coping skills development.

i) PSR services may only be provided:

• On-site at a Community Mental Health Center;

• Through a program that is approved pursuant to

Table N;

• In an individual or group modality. The staffing

ratio for groups shall not exceed one full-time

equivalent staff to 15 individuals;

• By an RSA, MHP, QMHP and LPHA; and


18



• By face-to-face contact.

ii) PSR may be subject to prior authorization, pursuant to

Section 140.40.

G) Therapy/Counseling. Therapy/Counseling is a treatment modality

that uses interventions based on psychotherapy theory and

techniques to promote emotional, cognitive, behavioral or

psychological changes. Therapy/Counseling Services may be

provided:

i) By a Community Mental Health Center, Behavioral Health

Clinic, or Independent Practitioner;



fee schedule;

iii) In an individual, group or family modality;

iv) By an MHP, QMHP and LPHA; and

v) By video, phone or face-to-face contact, notwithstanding

the restriction on services provided via phone in Sections

140.6(n) and 140.403.

3) MRO Crisis Services

A) Crisis Intervention. Crisis Intervention includes: crisis assessment,

brief intervention, consultation, referral and linkage to other

services.

i) Crisis intervention services include pre-hospitalization

screening of individuals age 0 through 20, to assess their

ability to be stabilized in the community as an alternative to

inpatient psychiatric hospitalization, pursuant to Section 5

of the Children's Mental Health Act of 2003 [405 ILCS 49].

ii) Crisis intervention services may be provided:


18



• Prior to Assessment and Treatment Planning;







• By a QMHP, LPHA or MHP with immediate access

to a QMHP; and




4) Team-based MRO Services

A) Assertive Community Treatment (ACT) Services. ACT Services

consist of integrated crisis, treatment and rehabilitative supports

provided by an interdisciplinary team to individuals with serious

and persistent mental illness or co-occurring mental health and

substance use disorders. ACT Services are intended to promote

symptom stability, management of co-morbid health conditions,

and appropriate use of psychotropic medications, as well as to

restore personal care, community living, work and social skills.

ACT Services encompass counseling and therapy, medication

management and monitoring, skill building, and crisis stabilization

services. ACT Services focus on the restoration of functional

skills (e.g., psychosocial, adaptive, self-care) to promote and

maintain community living.

i) ACT Services shall be:

• Provided only by Community Mental Health

Centers;


18



• Delivered by a team led by a full-time LPHA;

• At least one member of the team who is either a

Certified Recovery Support Specialist (CRSS) or

Certified Family Partnership Professional (CFPP),

based upon the age of the clients served by the

team. A person with lived experience may be

included on a team that does not have a CRSS or

CFPP if he/she obtains certification within 18

months after his/her date of hire; and

• Available 24 hours per day, seven days a week,

each week of the year.

ii) ACT Services may only be provided:

• To eligible individuals age 18 or older;




• In an individual or group modality; and




iii) ACT Services may be subject to prior authorization,

pursuant to Section 140.40.

B) Community Support Team (CST). CST consists of mental health

rehabilitation services and supports to decrease hospitalization and

crisis episodes and to increase community functioning in order for

the individual to achieve rehabilitative, resiliency and recovery

goals. CST facilitates illness self-management, skill building,

identification and use of adaptive and compensatory skills,


18



identification and use of natural supports, and use of community

resources.

i) CST Services shall be:

• Provided only by programs approved pursuant to

Table N;

• Delivered by a team led by a full-time QMHP; and

• Available 24 hours per day, seven days a week,

each week of the year.

ii) CST Services may only be provided:



• At all service locations and setting deemed







iii) CST Services may be subject to prior authorization,

pursuant to Section 140.40.

e) Targeted Case Management (TCM). The following services are established

pursuant to section 1905(a)(19) of the Social Security Act (42 USC

1396d(a)(19)).

1) Types of TCM Services

A) Client-centered Consultation Case Management. Client-centered

Consultation Case Management consists of client-specific


18



professional communications among provider staff or between

provider staff and staff of other providers who are involved with

service provision to the individual. Professional communications

include offering or obtaining a professional opinion regarding the

individual's current functioning level or improving the individual's

functioning level, discussing the individual's progress in treatment,

adjusting the individual's current treatment, or addressing the

individual's need for additional or alternative mental health

services. Client-centered Consultation Case Management services

may only be provided:

i) To eligible individuals receiving one or more services

detailed in Section 140.453(d)(2) (General MRO Services);

ii) By a Community Mental Health Center or Behavioral

Health Clinic;

iii) At all service locations and settings deemed appropriate for


fee schedule;

iv) On an individual basis;

v) By an RSA, MHP, QMHP and LPHA; and

vi) By video, phone or face-to-face contact, notwithstanding


140.6(n) and 140.403.

B) Mental Health Case Management Services. Mental Health Case

Management Services consist of: assessment, planning,

coordination and advocacy services for individuals who need

multiple services and require assistance in gaining access to and in

using behavioral health, physical health, social, vocational,

educational, housing, public income entitlements and other

community services to assist the individual in the community.

Mental Health Case Management Services may also include

identifying and investigating available resources, explaining

options to the individual, and linking the individual with necessary


18



resources. Mental Health Case Management Services may be

provided:

i) Prior to Assessment and Treatment Planning;

ii) By a Community Mental Health Center or Behavioral

Health Clinic;

iii) At all service locations and settings deemed appropriate for


fee schedule;

iv) On an individual basis;

v) By an RSA, MHP, QMHP and LPHA; and

vi) By video, phone or face-to-face contact, notwithstanding


140.6(n) and 140.403.

C) Transition Linkage and Aftercare Case Management Services shall

be provided to assist in an effective transition in living

arrangements, consistent with the individual's welfare and

development. This includes discharge from institutional settings,

transition to adult services, and assisting the individual or the

individual's family or caretaker with the transition.

i) Transition, Linkage and Aftercare Limitation. The

Department will not fund more than 40 hours of this service

per State fiscal year for an eligible individual.

ii) Transition, Linkage and Aftercare may only be provided:







18




• By an MHP, QMHP and LPHA; and




iii) Transition Linkage and Aftercare Case Management

Services may be subject to prior authorization, pursuant to

Section 140.40.

2) Limitation on Targeted Case Management Services. The Department shall

not fund more than 240 total hours of targeted case management services

per State fiscal year per individual.

Words that are defined in 59 Ill. Adm. Code 132.25 have the same meaning when used in

Sections 140.452 through 140.456.

"DCFS" means the Illinois Department of Children and Family Services.

"DHS" means the Illinois Department of Human Services.

"Screening, Assessment and Support Services (SASS)" means a program of

intensive mental health services provided by an agency certified by DHS or DCFS

to provide screening, assessment and support services to children with a mental

illness or emotional disorder who are at risk for psychiatric hospitalization.


Section 140.454 Types of Mental Health Services

The specific types of mental health services for which payment maywill be made are:

a) Mental health services meeting the standards in 8959 Ill. Adm. Code 140.453132;

b) The screening and assessment authorized under 59 Ill. Adm. Code 131.40 for

individualsclients under 21 years of age; and


18



c) The crisis intervention and stabilization services authorized under 59 Ill. Adm.

Code 131.50(a) provided during an individual's participation in the Screening,

Assessment and Support Services program;for a period not to exceed 90 days for

clients under 21 years of age.

d) Subject to prior approval pursuant to Section 140.40, case management services

for individuals, identified through the screening process specified in Section

140.642, transitioning from a nursing facility into residence in the community;

and.

e) Developmental testing for an infant and risk assessment screening for perinatal

depression, for either the mother (prenatal or post-partum) or the infant, up to one

year after delivery.


Section 140.455 Payment for Mental Health Services

a) The amount approved for payment for mental health services described in Section

140.454 shall be based on the type and amount of service required by and actually

delivered, and provided consistent with any service limitations, utilization

controls, or prior approval processes established or authorized by the

Departmentto a client.

b) The payment amount for a service described in Section 140.454(a) through (dc) is

determined in accordance with the rate methodologies outlined in the HFS fee

schedule for community-based behavioral health providers59 Ill. Adm. Code

132.60.

c) The payment amount for a service described in Section 140.454(e) shall be at the

rate of reimbursement paid to a physician for the same service.


Section 140.456 Hearings

The Department shall initiate administrative proceedings pursuant to 89 Ill. Adm. Code 104,

Subpart C, and Sections 140.13 through 140.19 to suspend or terminate the eligibility of


18



providers of mental health clinic services to participate in the Illinois Medical Assistance

Program when the provider has failed to comply withwhere:

a) The provider has failed to comply with 59 Ill. Adm. Code 132; and/or

b) Sections 140.452 through 140.455;

c) Section 140.460;

d) Section 140.499 or Table O; and/or

e) Any of the grounds for suspension or termination set forth in Section 140.16 or

Section 140.17 are present.


Section 140.460 Clinic Services

a) The following types of clinics are eligible to receive payment for clinic services:

1a) Hospital-based organized clinics;

2b) Encounter rate clinics;

3c) Federally Qualified Health Centers (FQHC):

4d) Rural health clinics; and

e) Mental health clinics (see Sections 140.452 through 140.456); and

5f) Maternal and Child Health Clinics.

b) Behavioral Health Clinics are eligible to receive payment for Community-based

Mental Health Services as defined in Section 140.453, pursuant to the

Department's fee schedule for Community-based Mental Health Services.

c) Clinics enrolled for participation in the Medical Assistance Program pursuant to

Sections 140.11 and 140.12 to receive reimbursement on an encounter rate basis

are prohibited from receiving reimbursement from the Department for the


18



provision of services in Section 140.453 in any form other than their established

behavioral health encounter rate.


Section 140.499 Behavioral Health Clinic

The Behavioral Health Clinic (BHC) shall:

a) Establish a specific geography service area or population to serve;

b) Provide community-based mental health services pursuant to Section 140.453;

c) Enroll with the Department as a medical provider pursuant to Section 140.11 and

comply with Subparts A and B;

d) Not be enrolled for participation in the Medical Assistance Program as a clinic

pursuant to Section 140.460(a) or as a Community Mental Health Center pursuant

to 59 Ill. Adm. Code 132;

e) Provide cost reporting information to the Department in a manner and format

specified by the Department with a minimum of 90 days written notice; and

f) Comply with requirements established in Table O.

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


18



Section 140.TABLE N Program Approval for Specified Behavioral Health Services

a) Purpose. Services requiring program approval, as required in Section 140.453,

shall be approved based upon the criteria outlined in this Section. For the

purposes of this Section, Department shall mean the Department of Healthcare

and Family Services (HFS) or its agent.

b) Process

1) Initial Program Approval

A) Enrolled providers, and providers seeking enrollment with HFS

pursuant to Section 140.452, to provide one or more of the services

detailed in Section 140.453 that require program approval, must

identify their intention to provide those services with the HFS

Provider Participation Unit through the Illinois Medicaid Program

Advanced Cloud Technology (IMPACT) portal.

B) The Department shall process the provider's enrollment

application, or updated materials, pursuant to Subpart B.

C) Following the provider's enrollment, or updated enrollment status,

the Department will perform program approval of the provider's

service program within 90 days.

D) The program approval process shall include:

i) The annual submission of an attestation detailing the

provider's adherence with Section 140.453 and this Table

N, for each service the provider is seeking program

approval.

ii) The review of provider program plans, policies, procedures,

staffing materials, and other documents required by the

Department to determine compliance with Section 140.453

and this Table N, for each service for which the provider is

seeking program approval.


18



iii) Program approval of PSR and IO service programs shall

require an on-site visit prior to approval.

iv) The Department may, at its sole discretion, elect to perform

on-site program approval activities for any and all services

detailed in this Table N.

E) The Department will notify the provider of the date and format of

its program approval activities in writing. For program approval

activities that are subject to on-site review, the Department will

notify the provider at least 10 days prior to the scheduled review.

The Provider must:

i) Make the physical plant and site locations available to the

Department during clinical review;

ii) Make all administrative and clinical staff, required program

plans, procedures manuals, and other necessary

documentation required to complete the program approval

review available to the Department during the review.

F) The Department shall utilize the program approval criteria detailed

in subsection (c) of this Table N for each of the qualifying service

program types to be reviewed.

G) Following the on-site review, the Department shall notify the

provider in writing, within 10 business days, of its program

approval findings.

i) Providers determined to be approved shall be enrolled for a

period of 12 months for the service program specialty in

IMPACT.

ii) Providers determined not to be approved:

• May request programmatic technical assistance

from the Department. Throughout the period of

receiving technical assistance, and at the sole

discretion of the Department, the Department may


18



work jointly with the provider to remedy

outstanding issues and approve the provider's

program.

• Providers determined not to be approved shall be

notified of their rights to appeal pursuant to

subsection (e), following the receipt of technical

assistance from the Department.

2) Program Approval/Annual Re-Approval. Following successful completion

of initial program approval, providers shall have their service programs

reviewed and re-approved annually pursuant to subsection (b)(1)(D)

through (G).

A) Providers determined to be re-approved shall continue to be

enrolled for the service program specialty in IMPACT for an

additional period of 12 months.

B) Providers failing to continue to meet the approval standards shall

be issued a Notice of Deficiencies. The Notice of Deficiencies

shall inform the provider that it is granted 30 a day period to

remedy all identified deficiencies and that technical assistance is

available from the Department.

i) Providers that remedy identified deficiencies shall be re-

approved pursuant to subsection (b)(2)(A).

ii) Providers that fail to remedy identified deficiencies shall be

provided Final Notice from the Department upon the close

of the 30 day period established by the Notice of

Deficiencies. Upon the date of issuance of Final Notice,

the provider shall be informed of its right to appeal and the

availability of technical assistance (see subsection

(b)(1)(G)(ii)).

c) Services

1) Community Support Team (CST) Program Approval. The provider must

attest annually to CST Services meeting the standards detailed in this


18



subsection (c)(1). Additionally, the provider shall demonstrate

compliance with the following requirements through policy, procedures,

aggregated service detail and/or client record documentation.

A) Programming. The provider shall ensure CST Services are

delivered consistently with the following:

i) Services. Individuals served in the CST program shall have

access to the interventions detailed in Section

140.453(d)(2)(A) and (G).

ii) Service Delivery

• CST Services are to be provided in the individual's

natural setting, with teams delivering no fewer than

60 percent of services in the home or community

setting.

• CST Services shall be provided during times and at

locations that reasonably accommodate individual's

service and treatment needs.

iii) Staffing Ratio. CST Services are delivered with staffing

ratios that ensure that no more than 18 individuals per each

full time equivalent staff are attributed to CST.

B) Staffing Requirements. The provider shall ensure that the CST

team is established consistently with the following:

i) A team lead (see Section 140.453(d)(4)(B)(i));

ii) A team member who is either a Certified Recovery Support

Specialist (CRSS) or Certified Family Partnership

Professional (CFPP), based upon the age of the individuals

served by the team. A person with lived experience may be

included on a team that does not have a CRSS or CFPP if

he/she obtains certification within 18 month after his/her

date of hire; and


18



iii) One other staff member meeting the credentials to provide

one or more of the services detailed in in Section

140.453(d)(2)(A) and (G).

C) Targeted Population Profile. The provider shall ensure the

predominant population of individuals receiving CST Services

from their CST program will exhibit 3 or more of the following

conditions:

i) At risk of institutionalization;

ii) Repeated utilization of crisis services or emergency

services for an underlying behavioral health condition;

iii) Current, or history within the last three months of

(inclusive of threats of):

• Suicidal ideation or gestures; or

• Harm to self or others;

iv) History of failed treatment compliance with elements of the

individual's Treatment Plan, Crisis Safety Plan or

prescribed medications impacting his/her behavioral health

condition;

v) Frequent utilization of detoxification services;

vi) Behavioral health issues that have not shown improvement

through participation in traditional outpatient behavioral

health services; or

vii) Compounding treatment factors, such as:

• Medical complexity, including cognitive

impairment, additional medical conditions, and/or

medication resistance;


18



• Issues with social determinants, including chronic

homelessness, repeat arrest, and/or incarceration; or

• Behavioral complexity, including inappropriate

public behavior (e.g., public intoxication,

indecency, disturbing the peace) or other behavioral

problems.

D) Provider-based Utilization Management. The provider shall

establish a CST Service review process that adheres to the

following:

i) The team shall meet weekly to review all individuals

participating in the CST program and their progress in

services.

ii) The CST team lead shall review, with the referring LPHA,

the Assessment and Treatment Plan and CST Services on a

monthly basis to ensure ongoing necessity for service

delivery.

iii) The LPHA shall:

• Review each individual's progress in service; and

• Identify any necessary changes in CST Services,

including transition to less intensive services,

consistent with the participating individual's

Assessment and Treatment Plan.

2) IO Program Approval. The provider must attest annually to IO Services

meeting the standards detailed in this subsection (c)(2). Additionally, the

provider shall demonstrate compliance with the following requirements

through policy, procedures, aggregated service detail, and/or client record

documentation.

A) Programming. The provider shall ensure IO Services are delivered

consistently with the following:


18



i) Active Treatment. The provider shall program IO Services

to ensure participants are provided with active treatment,

meaning that activities and therapies are not primarily

recreational or diversionary. IO Services are provided in

response to the participating individual's condition with a

reasonable expectation to:

• Improve or maintain the individual's condition;

• Improve functional level; and

• Prevent institutionalization.

ii) IO programming provides a series of time-limited,

structured, group interventions specific to the needs of the

participating individuals, including psychoeducational,

skills-development, crisis de-escalation, and other

therapeutic interventions. IO programming shall be

evidence-informed and delivered through the use of a

standardized curriculum model, when available.

B) Staffing Requirements. The provider shall ensure that IO Service

programs are established and include staffing ratios. IO Service

staffing ratios for groups shall not exceed one full-time equivalent

staff to 8 individuals for adults and one full-time equivalent staff to

4 individuals for youth.

C) Targeted Population Profile. The provider shall ensure the

predominant population of individuals receiving IO Services from

their IO program meet the criteria in this subsection (c)(2)(C):

i) Recognize their condition and seek to manage that

condition through lower intensity community services;

ii) Are at risk of institutionalization; and

iii) Have sufficient cognitive ability to benefit from IO

Services.


18




establish an IO Service review process that adheres to the

following:

i) The IO staff shall review, with the referring LPHA, the

Assessment and Treatment Plan and IO Services on a

weekly basis.

ii) The LPHA shall review each individual's diagnosis and

identify targeted IO Service topics and goals to be

addressed through the provider's IO Service program.

3) PSR Program Approval. The Provider must attest annually to PSR

Services meeting the standards detailed in this subsection (c)(3).

Additionally, the provider shall demonstrate compliance with the

following requirements through policy, procedures, aggregated service

detail, and/or client record documentation.

A) Programming. The provider shall ensure PSR Services are

delivered consistently with the following:

i) Active Treatment. The provider shall develop PSR

Services to ensure participants are provided with active

treatment, meaning activities and therapies are not

primarily recreational or diversionary. PSR Services are

provided in response to the individual's condition, with a

reasonable expectation to:

• Improve or maintain the individual's condition;

• Improve functional level; and

• Prevent institutionalization.

ii) Co-occurring Treatment. PSR programs shall have the

ability to provide services and interventions to individuals

with co-occurring psychiatric and substance use disorder

conditions.


18



B) Staffing. The provider shall ensure that PSR Service programs are

established consistently with the following:

i) PSR Program Director. The PRS program shall have a full-

time Program Director that meets the requirements of a

QMHP (see Section 140.453(b)(2)). The Program Director

shall be consistently scheduled onsite, spending at least half

of his/her time in the provision of PSR Services.

ii) All PSR program staff shall have direct access to the PSR

Program Director, or other delegated QMHP, at all times

during PSR Service delivery.

C) Targeted Population Profile. The provider will ensure the

predominant population of individuals receiving PSR Services

from their PSR program will meet the criteria in this subsection

(c)(3)(C):

i) Require a minimum of 20 hours per week of therapeutic

services as evidenced in the plan of care;

ii) Benefit from a coordinated program of services and require

more than individual sessions of outpatient treatment;

iii) Do not require 24-hour care;

iv) Have an adequate support system while not actively

engaged in the program;

v) Have a mental health diagnosis;

vi) Are determined not to be a dangerous to self or others; and

vii) Have the cognitive and emotional ability to participate in

the active treatment process and can tolerate the intensity of

PSR Services.


18




establish a PSR Service review process that adheres to the

following:

i) The PSR staff shall review, with the referring LPHA, the

Assessment and Treatment Plan and PSR Services

minimally on the following schedule:

• Within 14 days after admission to the PSR program;

and

• Once every 30 days, following the initial 14 day

period.

ii) The LPHA shall:

• Validate the individual's diagnosis, establish the

PSR Service goals with the individual, and direct

the type, amount, duration and frequency of

intervention to be delivered during the individual's

participation at the PSR program.

• Certify that the individual cannot otherwise be

stabilized in the community without participating in

PSR Services, placing the individual at risk of

institutionalization.

d) Transferability. Program approval is assignable or transferable consistent with

the policies and procedures established by the HFS Provider Participation Unit

related to the assignment and transferability of a provider's enrollment status with

HFS.

e) Appeals. For appeals regarding program approval, the following shall apply:

1) The HFS rules for Medical Vendor Hearings (89 Ill. Adm. Code

104.Subpart C) shall apply to all appeals under this Section, except that:

A) Informal review of any appealable issue must be completed by the

Department's Bureau of Behavioral Health (BBH) pursuant to this


18



Section before formal appeal of the issue may be requested to the

Department's Bureau of Administrative Hearings (BAH); and

B) 89 Ill. Adm. Code 104.204, 104.205, 104.206, 104.207, 104.208,

104.210, 104.211, 104.213, 104.216, 104.217, 104.249, 104.260,

104.272, 104.273 and 104.274 shall not apply.

2) A provider may appeal the following actions detailed in this Part:

A) Refusal to issue program approval; or

B) Revocation of program approval resulting in disenrollment from

participation for the specific clinical service in question.

3) Informal Review Process

A) The provider seeking to appeal any of the issues in subsection

(e)(2) must first request informal review of the issue by BBH

before the issue may be appealed to BAH.

i) Request for informal review must be submitted in writing

to BBH within 10 days after the date of notice of the

contested action and must clearly identify the issue or

action for which informal review is sought.

ii) If the request for informal review is received by BBH prior

to the Department's intended action taking effect, the action

shall be stayed until completion of the informal review and,

if applicable, expiration of the subsequent 10 day period to

formally appeal the outcome of the informal review to

BAH.

B) The BBH shall complete the informal review of the contested

action within 30 days after receipt of the request and shall

determine whether to maintain, reverse or modify the action or

take other action as necessary.


18



i) BBH may request and review all materials pertaining to the

informal review held by the Department's vendors, agents

or providers.

ii) BBH shall notify the individual or authorized

representative in writing of the result of the informal

review. The written notification shall:

• State the result of the informal review, including

action to be taken, if any;

• State the reason and policy basis for the action; and

• Provide notice of the right to appeal and instructions

on how to proceed with formal appeal through

BAH.

C) The provider may appeal the result of the informal review by filing

a written request for appeal with BAH within 10 days after the date

of the notice of the result of the informal review. If the request for

appeal is received by BAH prior to Department's intended action

taking effect, the action shall be stayed until the appeal is resolved

through final administrative decision or withdrawal of the appeal.

D) The final administrative decision shall be issued to the interested

parties within 90 days after the date the appeal is filed with BAH

unless additional time is required for proper disposition of the

appeal.

E) Appropriate action implementing the final administrative decision

shall be taken within 30 days after the date the final administrative

decision is issued.



18



Section 140.TABLE O Criteria for Participation as a Behavioral Health Clinic

a) General Requirements. A Behavioral Health Clinic (BHC) shall:

1) Operate in a manner compliant with all applicable State and federal laws,

regulations and adopted policies and procedures;

2) Establish and maintain policies and procedures to be used by all staff in

the administration of programs and delivery of services;

3) Ensure facilities, staff and services are culturally competent, consistent

with the needs of individuals served. Culturally competent shall mean

compliance with the national Culturally and Linguistically Appropriate

Standards (CLAS) (https:www.thinkculturalhealth.hhs.gov/clas), as

detailed by the HHS Office of Minority Health;

4) Establish policies, protocols, and other necessary contracts or agreement

to ensure individuals can access and maintain active support from an

independent practitioner licensed by the State of Illinois to provide

consultation, evaluation, prescription and management of medication; and

5) Hold, at a minimum, quarterly meetings with individuals served and

community stakeholders to obtain feedback.

b) Clinic Location. BHC locations must meet the following standards:

1) Not be an individual's residence or a home;

2) Provide a sanitary and comfortable environment for individuals and staff

conducive to the provision of behavioral health services;

3) Establish and maintain policies and procedures specific to emergency

disaster plans, fire evacuation plans, and procedures for managing the

basic maintenance of the site;

4) Provide an environment reflective of the interventions being offered and

populations being served that, at a minimum, shall afford privacy to

individuals;


18



5) Meet health and safety standards, as applicable;

6) Be accessible in accordance with the Americans With Disabilities Act of

1990 (42 USC 12101), as amended, and the Illinois Accessibility Code (71

Ill. Adm. Code 400) and the ADA Accessibility Guidelines (28 CFR 36),

whichever is more stringent. Providers must maintain a written policy for

reasonable accommodations for the provision of services to individuals

unable to access the provider's sites due to physical inaccessibility;

7) Display a current letter from the Office of the State Fire Marshal or the

local fire authority demonstrating annual compliance with 41 Ill. Adm.

Code Part 100; and

8) Comply with building codes adopted by local ordinance.

c) Personnel Standards. A BHC shall:

1) Maintain sufficient staff of appropriate training and credentialing to meet

the requirements for service delivery;

2) Employ a full-time Clinical Director who meets the requirements of a

Licensed Practitioner of the Healing Arts (LPHA) to oversee and direct

the clinical functions of the BHC;

3) Perform and record sufficient background checks on all prospective

employees, volunteers, interns, unpaid personnel, or other individuals who

are prospective agents of the BHC. Background checks shall be retained

in the individual's personnel record. The BHC shall, at a minimum:

A) Access the Department of Public Health's Health Care Worker

Registry concerning the person. If the Registry has information

substantiating a finding of abuse or neglect against the person, the

provider shall not engage him/her in any capacity;

B) Perform background checks in compliance with requirements set

forth in the Health Care Worker Background Check Act [225 ILCS

46] and in the Illinois Department of Public Health's rules (77 Ill.

Adm. Code 955);


18



C) Review the Provider Sanctions List provided by the HFS Office of

Inspector General (HFS OIG) to ensure the provider is not on the

list of sanctioned providers. The provider shall not employ or

contract with any provider found on the HFS OIG Provider

Sanctions List; and

D) Meet any additional background check requirements required by

the population or funder as approved by the Department.

d) Organizational Requirements. A BHC shall:

1) Maintain an appropriate level of insurance against professional and

physical liabilities;

2) Not subcontract for the delivery of services detailed in Section 140.453.

e) Service Delivery Requirements. A BHC shall:

1) Coordinate service delivery with the individual's primary care provider,

care coordination entity, and/or managed care entity;

2) Seek to enhance individual engagement through the:

A) Availability of services during non-traditional working hours (e.g.,

weekends and evening periods); and

B) Delivery of services in the home or other community-based

settings.

3) Develop policies and procedures to ensure individuals receive referrals for

substance use disorder treatment services, as needed.



18

ILLINOIS RACING BOARD


1) Heading of the Part: Medication



603.60 Amendment

603.75 Amendment

4) Statutory Authority: 230 ILCS 5/9(b)

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

updates the Association of Racing Commissioners International (ARCI) Uniform

Classification Guidelines for Foreign Substances, referenced in Section 603.60(a)(3), to

version 13.4, dated January 2018. This proposed rulemaking also updates the thresholds

in Section 603.75 for caffeine and theobromine, pursuant to the thresholds contained in

the ARCI Endogenous, Dietary, or Environmental Substances Schedule (version 3.0).

The ARCI Guidelines gives regulators, veterinarians, and horsemen guidelines to assist

them in understanding the relative performance effects of various drugs and medications.

The ARCI Guidelines are useful for regulators and horsemen nationwide, most of whom

have little training or experience with drugs and their effects on racehorses. Updating

Sections 603.60 and 603.75 assists racing jurisdictions in the making of racing regulatory

policy.

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

rulemaking: Association of Racing Commissioners International (ARCI) Uniform

Classification Guidelines of Foreign Substances version 13.4, January 2018; ARCI

Endogenous, Dietary, or Environmental Substances Schedule version 3.0.



9) Does this rulemaking contain incorporations by reference? Yes

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

11) Statement of Statewide Policy Objective: No local governmental units will be required to

increase expenditures.


18




rulemaking: Written comments should be submitted, within 45 days after this notice, to:

Mickey Ezzo

Illinois Racing Board

100 West Randolph

Suite 5-700

Chicago IL 60601

312/814-5017

[email protected]


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

affected: None



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



18



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

SUBTITLE B: HORSE RACING

CHAPTER I: ILLINOIS RACING BOARD

SUBCHAPTER c: RULES APPLICABLE TO ALL OCCUPATION LICENSEES

PART 603

MEDICATION

Section

603.10 Pre-Race Saliva Tests

603.20 Racing Soundness Exam

603.30 Foreign Substances and Pharmaceutical Aids Banned

603.40 Twenty-four Hour Ban

603.50 Trainer Responsibility

603.55 Prima Facie Evidence

603.60 Permitted Use of Foreign Substances and Threshold Levels

603.70 Furosemide

603.75 Environmental Contaminants

603.80 Needles, Syringes and Injectables

603.90 Drugs, Chemicals and Prescription Items

603.100 Detention Barn

603.110 Test Samples

603.120 Referee Samples

603.130 Laboratory Findings and Reports

603.140 Distribution of Purses

603.150 Post Mortems

603.160 Penalties

603.170 Veterinarian's Records

603.180 Carbon Dioxide Tests

603.190 Erythropoietin and Darbepoietin Antibody Testing Program

603.200 Out of Competition Testing

603.210 Androgenic-Anabolic Steroids (AAS)

AUTHORITY: Implementing, and authorized by Section 9(b) of, the Illinois Horse Racing Act

of 1975 [230 ILCS 5].

SOURCE: Adopted at 21 Ill. Reg. 3232, effective March 4, 1997; amended at 22 Ill. Reg. 2217,

effective January 1, 1998; amended at 22 Ill. Reg. 3594, effective February 1, 1998; amended at

25 Ill. Reg. 15611, effective December 1, 2001; amended at 26 Ill. Reg. 12360, effective August


18



1, 2002; amended at 27 Ill. Reg. 5027, effective March 7, 2003; amended at 27 Ill. Reg. 7331,

effective April 15, 2003; amended at 28 Ill. Reg. 1374, effective January 19, 2004; amended at

28 Ill. Reg. 4751, effective March 1, 2004; emergency amendment at 28 Ill. Reg. 7565, effective

May 11, 2004, for a maximum of 150 days; emergency expired October 7, 2004; amended at 28

Ill. Reg. 11250, effective August 1, 2004; amended at 28 Ill. Reg. 15790, effective December 1,

2004; emergency amendment at 29 Ill. Reg. 2779, effective February 22, 2005, for a maximum

of 150 days; emergency amendment at 29 Ill. Reg. 4116, effective February 25, 2005, for a

maximum of 150 days; amended at 29 Ill. Reg. 5726, effective April 8, 2005; amended at 29 Ill.

Reg. 12265, effective July 24, 2005; amended at 29 Ill. Reg. 14038, effective September 1, 2005;


days; amended at 30 Ill. Reg. 18729, effective November 20, 2006; amended at 31 Ill. Reg.

1478, effective January 1, 2007; emergency amendment at 31 Ill. Reg. 6680, effective April 23,

2007, for a maximum of 150 days; amended at 31 Ill. Reg. 12982, effective September 1, 2007;

amended at 32 Ill. Reg. 7397, effective May 1, 2008; amended at 33 Ill. Reg. 12571, effective

August 25, 2009; expedited correction at 34 Ill. Reg. 9551, effective August 25, 2009;

emergency amendment at 35 Ill. Reg. 265, effective December 17, 2010, for a maximum of 150

days; emergency amendment at 35 Ill. Reg. 2810, effective February 1, 2011, for a maximum of

150 days; amended at 35 Ill. Reg. 7400, effective April 25, 2011; amended at 35 Ill. Reg. 8485,

effective May 23, 2011; emergency amendment at 35 Ill. Reg. 15296, effective September 6,

2011, for a maximum of 150 days; emergency rule repealed by emergency amendment at 35 Ill.

Reg. 18434, effective October 24, 2011, for the remainder of the 150 days; emergency



3290, effective February 15, 2012, for a maximum of 150 days; emergency amendment at 36 Ill.

Reg. 6057, effective April 6, 2012, for a maximum of 150 days; amended at 36 Ill. Reg. 8967,

effective June 1, 2012; amended at 36 Ill. Reg. 12815, effective August 1, 2012; amended at 36

Ill. Reg. 17078, effective November 28, 2012; emergency amendment at 36 Ill. Reg. 17131,

effective November 28, 2012, for a maximum of 150 days; amended at 37 Ill. Reg. 4993,

effective April 1, 2013; emergency amendment at 38 Ill. Reg. 9121, effective April 10, 2014, for

a maximum of 150 days; amended at 38 Ill. Reg. 18555, effective August 25, 2014; amended at

39 Ill. Reg. 11492, effective August 1, 2015; amended at 40 Ill. Reg. 9208, effective July 1,

2016; amended at 41 Ill. Reg. 12866, effective October 1, 2017; amended at 42 Ill. Reg. ______,

effective ____________.

Section 603.60 Permitted Use of Foreign Substances and Threshold Levels

a) Non-Steroidal Anti-Inflammatories (NSAID): Threshold Levels

1) Only one non-steroidal anti-inflammatory drug (NSAID) may be present


18



in a horse's body while it is participating in a race. The presence of more

than one NSAID, greater than the threshold level, is forbidden and will

result in the purse being redistributed.

2) Subject to the prohibition contained in Section 603.40 (24 hour ban), the

only foreign substances that now meet the criteria established in Section

603.80 are phenylbutazone, flunixin, ketoprofen, pyrilamine, isoxsuprine

and the therapeutic medications listed in subsection (f).

3) Laboratory reports of phenylbutazone in a concentration greater than or

equal to 2 mcg/ml in serum or plasma, flunixin in a concentration greater

than or equal to 20 ng/ml in serum or plasma, and ketoprofen in a

concentration greater than or equal to 2 ng/ml in serum or plasma shall be

treated as Class 4 drugs, category "C" penalty, as defined in the

Association of Racing Commissioners International Uniform

Classification Guidelines for Foreign Substances (ARCI, 1510 Newtown

Pike, Suite 210, Lexington KY 40511; January 2018July 29, 2017 version

13.413.3; this incorporation includes no later amendments or editions).

4) A finding by the Board's laboratory of any amount of oxyphenbutazone in

the absence of phenylbutazone shall be treated as a Class 4 drug, as

defined in the ARCI Guidelines for Foreign Substances (incorporated by

reference in subsection (a)(3)).

5) The use of multiple permitted NSAIDs shall be discontinued at least 48

hours prior to post time for the race in which the horse is entered. The

presence of more than one NSAID is prohibited with the exceptions of:

A) Phenylbutazone – in a concentration less than 0.3 mcg/ml in

serum or plasma.

B) Flunixin – in a concentration less than 3 ng/ml in serum or

plasma.

C) Ketoprofen – in a concentration less than 1 ng/ml in serum or

plasma.

6) If the phenylbutazone, flunixin or ketoprofen overage is due to the

negligence of the veterinarian attending the horse, the veterinarian shall be


18



subject to the same penalties as are set forth in the ARCI Guidelines for

Foreign Substances (incorporated by reference in subsection (a)(3)).

7) Penalties for violations of this Section shall be based on the following

criteria:

A) previous warnings and rulings for violations of this Section;

B) the age and experience of the violator;

C) whether the violator has ever been the subject of a medication

ruling in this or any other racing jurisdiction;

D) what action, if any, was taken to avoid the violation;

E) the purse of the race.

b) The following foreign substances may be administered externally to a horse

entered to a race: Leg paints and liniment that do not contain any "caine"

derivatives, pharmacodynamic and/or chemotherapeutic agents, and that can be

applied topically without penetrating the skin.

c) Subject to the prohibition contained in Section 603.40 (24-hour ban), the

following foreign substances, commonly referred to as anti-bacterial, anti-fungal,

or anti-protozoal drugs, may be present in the body of a horse participating in a

race.

1) Anti-Bacterials

Amikacin

Ampicillin

Ampicillin sodium

Azolsulfamide

Chloramphenicol

Doxycycline

Enrofloxacin (Baytril)

Erythromycin sulfate

Gentamicin sulfate

Kanamycin sulfate


18



Methenamine

Metronidazole

Neomycin sulfate

Nitrofurantoin

Oxytetracycline

Penicillin G. Benzathine

Penicillin G. Potassium

Sulfadimethozine

Sulfadimethoxine

Sulfamethoxazole

Sulfametranidazole

Sulfapyridine

Sulfathiazole

Tetracycline

Trimethoprim

2) Anti-Fungals

Amphotericin B

Griseofulvin

Neomycin Undecyclenate

Nystatin

3) Anti-Protozoals

Nitazoxanide (Navigator)

Ponazuril (Marquis)

Pyrimethamine (Daraprim)

d) This listing of anti-bacterial, anti-fungal, and anti-protozoal drugs is all inclusive

and shall not include any other anti-bacterial, anti-fungal or anti-protozoal drug,

except as provided in subsection (f).

e) A foreign substance of accepted therapeutic value may be administered as

prescribed by a veterinarian when threshold levels and guidelines for its use have

been approved by the Board and this Part has been duly amended. The Board

shall give due consideration to threshold levels and guidelines, when making

additions to the permitted list, that have been established by the ARCI Guidelines

for Foreign Substances (incorporated by reference in subsection (a)(3)).


18



f) Subject to the prohibition contained in Section 603.40 (24 hour ban), the use of

the following therapeutic medications shall be permitted. The official test

samples may contain the following therapeutic medications in concentrations less

than the following threshold levels:

1) Acepromazine − 10 ng/ml as 2-(1-hydroxyethyl) promazine sulfoxide

(HEPS) in urine.

2) Albuterol − 1 ng/ml in urine.

3) Betamethasone − 10 pg/ml in serum or plasma.

4) Butorphanol − 300 ng/ml of total butorphanol in urine.

5) Cetirizine – 6 ng/ml in serum or plasma.

6) Cimetidine – 400 ng/ml in serum or plasma.

7) Clenbuterol –140 pg/ml in urine in thoroughbred and quarter horse breeds;

and Limit of Detection (which is not less than 10 pg/ml) in serum or

plasma in the standardbred breed.

8) Dantrolene –100 pg/ml of 5-hydroxydantrolene in serum or plasma.

9) Detomidine – Level of Detection for detomidine in serum or plasma.

10) Dexamethasone – 5 pg/ml in serum or plasma.

11) Diclofenac – 5 ng/ml in serum or plasma.

12) Dimethyl sulfoxide (DMSO) – 10 mcg/ml in serum or plasma.

13) Firocoxib – 20 ng/ml in serum or plasma.

14) Furosemide – 100 ng/ml in serum or plasma.

15) Glycopyrrlate – 3 pg/ml in serum or plasma.


18



16) Guaifenesin – 12 ng/ml in serum or plasma.

17) Isoflupredone – 100 pg/ml in serum or plasma.

18) Lidocaine – 20 pg/ml of total 3-hydroxylidocaine in serum or plasma.

19) Mepivacaine – 10 ng total hydroxymepivacaine/ml in urine.

20) Methocarbamol – 1 ng/ml in serum or plasma.

21) Methylprednisolone − 100 pg/ml in serum or plasma.

22) Omeprazole sulfide – 10 ng/ml in serum or plasma.

23) Prednisolone – 1 ng/ml in serum or plasma.

24) Procaine penicillin − 25 ng/ml of procaine in serum or plasma. Procaine

penicillin must be reported to the Board at time of administration and shall

not be administered after the horse is entered to race.

25) Ranitidine – 40 ng/ml in serum or plasma.

26) Triamcinolone acetonide – 100 pg/ml in serum or plasma.

27) Xylazine – 200 pg/ml in serum or plasma.

g) Laboratory reports of the therapeutic medications listed in subsection (f) greater

than or equal to their respective threshold level shall be treated as they are defined

and classified in the Association of Racing Commissioners International Uniform

Classification Guidelines for Foreign Substances (incorporated by reference in

subsection (a)(3)).

h) Official test samples may contain any of the following drug substances, or their

metabolites, in a concentration less than the threshold level:

1) Isoxsuprine − shall be less than 1,000 ng/ml in urine.

2) Pyrilamine − shall be less than 50 ng/ml of O-desmethyl pyrilamine in

urine.


18



i) The provisions of this Section shall be applied retroactively when substantively

applicable, including all actions pending before the Board without regard to when

the cause of action accrued; provided, however, that this subsection shall not

operate to affect rights of individuals that have fully vested.

j) To help licensees determine the test levels of substances contained in this Section,

the Board laboratory will test, at the sole expense of the licensee for the actual

cost of processing the sample, all equine urine, serum or plasma samples

submitted to it that are accompanied by a certification indicating time, method

and route of administration.


Section 603.75 Environmental Contaminants

The following drugs are recognized as substances that unavoidably become part of the food

supply or environment of the horse, or are recognized as substances of human use and addiction

and that could be found in the horse due to its close association with humans:

a) Benzoylecgonine (a metabolite of cocaine):

1) Each time the laboratory reports benzoylecgonine in a concentration less

than 150 ng/ml in urine, the Stewards shall conduct an inquiry. The

presence of benzoylecgonine in the horse shall be considered reasonable

cause to order a drug screen on the trainer, groom or any other licensed

person who cares for the horse pursuant to 11 Ill. Adm. Code 508.50.

2) Laboratory reports of benzoylecgonine in a concentration greater than or

equal to 150 ng/ml in urine shall be treated as a Class 1 drug, as defined in

the Association of Racing Commissioners International Uniform

Classification Guidelines for Foreign Substances (incorporated by

reference in Section 603.60(a)(3)).

b) Caffeine:

Laboratory reports of caffeine in a concentration greater than or equal to 100

ng/ml in serum or plasmaurine shall be treated as a Class 2 drug, as defined in the

Association of Racing Commissioners International Uniform Classification


18



Guidelines for Foreign Substances (incorporated by reference in Section

603.60(a)(3)).

c) Theobromine:

Laboratory reports of theobromine in a concentration greater than or equal to 2

mcg/ml in urine or 0.3 mcg/ml in serum or plasma shall be treated as a Class 4

drug, as defined in the Association of Racing Commissioners International

Uniform Classification Guidelines for Foreign Substances (incorporated by

reference in Section 603.60(a)(3)).



18

SECRETARY OF STATE


1) Heading of the Part: Issuance of Licenses



1030.92 Amendment

4) Statutory Authority: 625 ILCS 5/2-104

5) A Complete Description of the Subjects and Issues Involved: To date, when the

Secretary of State has issued a driver's license to a person who is temporarily out of the

State of Illinois, the newly issued driver's license did not contain a photograph of the

holder. Due to upgrades in technology, we can now issue the driver's license with a

photograph of the holder. This proposal eliminates language that indicates the driver's

license would not contain a photograph.

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

rulemaking: None




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

Section Numbers: Proposed Actions: Illinois Register Citations:


1030.93 Amendment 41 Ill. Reg. 13964; November 17, 2017

11) Statement of Statewide Policy Objective: The rulemaking will not create or enlarge a

State mandate.

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

rulemaking: Text of the prepared amendments is posted on the Secretary of State's

website, www.sos.il.us/departments/index/home as part of the Illinois Register. Interested

persons may present their comments concerning this proposed rulemaking in writing

within 45 days after publication of this Notice to:


18

SECRETARY OF STATE


Jennifer Egizii

Office of the Secretary of State

Driver Services Department

2701 South Dirksen Parkway


217/557-4462


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

affected: None


C) Types of Professional skills necessary for compliance: None




18

SECRETARY OF STATE


TITLE 92: TRANSPORTATION

CHAPTER II: SECRETARY OF STATE

PART 1030

ISSUANCE OF LICENSES

Section

1030.1 Definitions

1030.5 Procedure for Obtaining a Driver's License

1030.6 Procedure for Obtaining a Visa Status Temporary Visitor's Driver's License

Pursuant to IVC Section 6-105.1(a)

1030.7 Procedure for Obtaining a Non-Visa Status Temporary Visitor's Driver's License

Pursuant to IVC Section 6-105.1(a-5)

1030.10 What Persons Shall Not be Licensed or Granted Permits

1030.11 Procedure for Obtaining a Driver's License/Temporary Visitor's Driver's License

(Renumbered)

1030.12 Identification Cards for the Homeless

1030.13 Denial of License or Permit

1030.14 Emergency Contact Database

1030.15 Cite for Re-testing

1030.16 Physical and Mental Evaluation

1030.17 Errors in Issuance of Driver's License/Cancellation

1030.18 Medical Criteria Affecting Driver Performance

1030.20 Classification of Drivers – References (Repealed)

1030.22 Medical Examiner's Certificate − CLP or CDL Holders

1030.25 Safe Driver License Renewals

1030.26 Identification Cards for IDOC/IDJJ Applicants

1030.27 Identification Cards for Youth in Care

1030.30 Classification Standards

1030.40 Fifth Wheel Equipped Trucks

1030.50 Bus Driver's Authority, Religious Organization and Senior Citizen Transportation

1030.55 Commuter Van Driver Operating a For-Profit Ridesharing Arrangement

1030.60 Third-Party Certification Program

1030.63 Religious Exemption for Social Security Numbers (Repealed)

1030.65 Instruction Permits

1030.66 Adult Driver Education

1030.70 Driver's License Testing/Vision Screening

1030.75 Driver's License Testing/Vision Screening With Vision Aid Arrangements Other

Than Standard Eye Glasses or Contact Lenses


18

SECRETARY OF STATE


1030.80 Driver's License Testing/Written Test

1030.81 Endorsements

1030.82 Charter Bus Driver Endorsement Requirements

1030.83 Hazardous Material Endorsement

1030.84 Vehicle Inspection

1030.85 Driver's License Testing/Road Test

1030.86 Multiple Attempts − Written and/or Road Tests

1030.88 Exemption of Facility Administered Road Test

1030.89 Temporary Driver's Licenses and Temporary Instruction Permits

1030.90 Requirement for Photograph and Signature of Licensee on Driver's License

1030.91 Person with a Disability Identification Card

1030.92 Restrictions

1030.93 Restricted Local Licenses

1030.94 Duplicate or Corrected Driver's License or Instruction Permit

1030.95 Consular Licenses (Repealed)

1030.96 Seasonal Restricted Commercial Driver's License

1030.97 Invalidation of a Driver's License, Permit and/or Driving Privilege

1030.98 School Bus Endorsement or Learner's Permit

1030.100 Anatomical Gift Donor (Repealed)

1030.110 Emergency Medical Information Card

1030.115 Change-of-Address

1030.120 Issuance of a Probationary License

1030.130 Grounds for Cancellation of a Probationary License

1030.140 Use of Captured Images

1030.150 Veteran Designation on Driver's License or Identification Card

1030.APPENDIX A Questions Asked of a Driver's License Applicant

1030.APPENDIX B Acceptable Identification Documents – Applicants for a Driver's

License, Instruction Permit, Visa Status Temporary Visitor's Driver's

License Pursuant to IVC Section 6-105.1(a) or Visa Status Temporary

Visitor's Instruction Permit

1030.APPENDIX C Acceptable Identification Documents – Applicants for a Non-Visa

Status Temporary Visitor's Driver's License or Non-Visa Status

Temporary Visitor's Instruction Permit Pursuant to IVC Section 6-

105.1(a-5)

AUTHORITY: Implementing Article I of the Illinois Driver Licensing Law of the Illinois

Vehicle Code [625 ILCS 5/Ch. 6, Art. I] and authorized by Section 2-104(b) of the Illinois

Vehicle Title and Registration Law of the Illinois Vehicle Code [625 ILCS 5/2-104(b)].


18

SECRETARY OF STATE


SOURCE: Filed March 30, 1971; amended at 3 Ill. Reg. 7, p. 13, effective April 2, 1979;

amended at 4 Ill. Reg. 27, p. 422, effective June 23, 1980; amended at 6 Ill. Reg. 2400, effective

February 10, 1982; codified at 6 Ill. Reg. 12674; amended at 9 Ill. Reg. 2716, effective February

20, 1985; amended at 10 Ill. Reg. 303, effective December 24, 1985; amended at 10 Ill. Reg.

15130, effective September 2, 1986; amended at 10 Ill. Reg. 18182, effective October 14, 1986;


October 23, 1987; amended at 12 Ill. Reg. 3027, effective January 14, 1988; amended at 12 Ill.

Reg. 13221, effective August 1, 1988; amended at 12 Ill. Reg. 16915, effective October 1, 1988;


effective April 1, 1989; amended at 13 Ill. Reg. 7808, effective June 1, 1989; amended at 13 Ill.

Reg. 12880, effective July 19, 1989; amended at 13 Ill. Reg. 12978, effective July 19, 1989;


effective September 8, 1989; amended at 13 Ill. Reg. 17095, effective October 18, 1989;


March 9, 1990; amended at 14 Ill. Reg. 5183, effective March 21, 1990; amended at 14 Ill. Reg.

8707, effective May 16, 1990; amended at 14 Ill. Reg. 9246, effective May 16, 1990; amended at

14 Ill. Reg. 9498, effective May 17, 1990; amended at 14 Ill. Reg. 10111, effective June 11,

1990; amended at 14 Ill. Reg. 10510, effective June 18, 1990; amended at 14 Ill. Reg. 12077,

effective July 5, 1990; amended at 14 Ill. Reg. 15487, effective September 10, 1990; amended at

15 Ill. Reg. 15783, effective October 18, 1991; amended at 16 Ill. Reg. 2182, effective January

24, 1992; emergency amendment at 16 Ill. Reg. 12228, effective July 16, 1992, for a maximum

of 150 days; emergency expired on December 13, 1992; amended at 16 Ill. Reg. 18087, effective

November 17, 1992; emergency amendment at 17 Ill. Reg. 1219, effective January 13, 1993, for

a maximum of 150 days; amended at 17 Ill. Reg. 2025, effective February 1, 1993; amended at

17 Ill. Reg. 7065, effective May 3, 1993; amended at 17 Ill. Reg. 8275, effective May 24, 1993;



Reg. 7478, effective May 2, 1994; amended at 18 Ill. Reg. 16457, effective October 24, 1994;


February 14, 1996; emergency amendment at 20 Ill. Reg. 8358, effective June 4, 1996, for a

maximum of 150 days; emergency amendment repealed in response to an objection of the Joint

Committee on Administrative Rules at 20 Ill. Reg. 14279; amended at 21 Ill. Reg. 6588,

effective May 19, 1997; amended at 21 Ill. Reg. 10992, effective July 29, 1997; amended at 22

Ill. Reg. 1466, effective January 1, 1998; emergency amendment at 23 Ill. Reg. 9552, effective

August 1, 1999, for a maximum of 150 days; amended at 23 Ill. Reg. 13947, effective November

8, 1999; amended at 24 Ill. Reg. 1259, effective January 7, 2000; emergency amendment at 24

Ill. Reg. 1686, effective January 13, 2000, for a maximum of 150 days; amended at 24 Ill. Reg.

6955, effective April 24, 2000; emergency amendment at 24 Ill. Reg. 13044, effective August


18

SECRETARY OF STATE


10, 2000, for a maximum of 150 days; amended at 24 Ill. Reg. 18400, effective December 4,

2000; amended at 25 Ill. Reg. 959, effective January 5, 2001; amended at 25 Ill. Reg. 7742,

effective June 5, 2001; amended at 25 Ill. Reg. 12646, effective September 24, 2001; emergency

amendment at 25 Ill. Reg. 12658, effective September 24, 2001, for a maximum of 150 days;

emergency expired February 20, 2002; amended at 26 Ill. Reg. 9961, effective June 24, 2002;


7340, effective April 14, 2003, for a maximum of 150 days; emergency expired September 10,

2003; emergency amendment at 27 Ill. Reg. 16968, effective October 17, 2003, for a maximum

of 150 days; emergency expired March 14, 2004; emergency amendment at 28 Ill. Reg. 384,

effective January 1, 2004, for a maximum of 150 days; emergency expired May 29, 2004;


July 13, 2004; amended at 29 Ill. Reg. 920, effective January 1, 2005; emergency amendment at

29 Ill. Reg. 2469, effective January 31, 2005, for a maximum of 150 days; emergency expired

June 29, 2005; amended at 29 Ill. Reg. 9488, effective June 17, 2005; amended at 29 Ill. Reg.

12519, effective July 28, 2005; amended at 29 Ill. Reg. 13237, effective August 11, 2005;

amended at 29 Ill. Reg. 13580, effective August 16, 2005; amended at 30 Ill. Reg. 910, effective

January 6, 2006; amended at 30 Ill. Reg. 5621, effective March 7, 2006; amended at 30 Ill. Reg.

11365, effective June 15, 2006; emergency amendment at 30 Ill. Reg. 11409, effective June 19,

2006, for a maximum of 150 days; emergency expired November 15, 2006; amended at 31 Ill.

Reg. 4782, effective March 12, 2007; amended at 31 Ill. Reg. 5096, effective March 15, 2007;


April 12, 2007; amended at 31 Ill. Reg. 7643, effective May 16, 2007; amended at 31 Ill. Reg.

11342, effective July 18, 2007; amended at 31 Ill. Reg. 14547, effective October 9, 2007;


effective November 27, 2007; amended at 31 Ill. Reg. 16843, effective January 1, 2008;



effective January 21, 2009; amended at 33 Ill. Reg. 8489, effective June 5, 2009; amended at 33

Ill. Reg. 9794, effective June 29, 2009; amended at 33 Ill. Reg. 11620, effective July 22, 2009;


effective December 22, 2009; amended at 34 Ill. Reg. 9457, effective June 23, 2010; amended at

34 Ill. Reg. 15418, effective September 22, 2010; amended at 34 Ill. Reg. 19071, effective

November 22, 2010; amended at 35 Ill. Reg. 2197, effective January 21, 2011; amended at 35 Ill.

Reg. 4692, effective March 3, 2011; amended at 35 Ill. Reg. 19664, effective November 23,

2011; amended at 36 Ill. Reg. 3924, effective February 27, 2012; amended at 36 Ill. Reg. 7255,

effective April 26, 2012; amended at 36 Ill. Reg. 14755, effective September 18, 2012; amended

at 37 Ill. Reg. 7776, effective May 22, 2013; amended at 37 Ill. Reg. 14176, effective September

1, 2013; amended at 37 Ill. Reg. 19342, effective November 28, 2013; amended at 38 Ill. Reg.

7946, effective March 28, 2014; emergency amendment at 38 Ill. Reg. 8429, effective April 4,


18

SECRETARY OF STATE


2014, for a maximum of 150 days; amended at 38 Ill. Reg. 12515, effective July 1, 2014;



Reg. 5083, effective March 23, 2015; amended at 39 Ill. Reg. 8028, effective May 21, 2015;



Reg. 7330, effective May 2, 2016; amended at 40 Ill. Reg. 13637, effective September 19, 2016;


December 29, 2016; amended at 41 Ill. Reg. 3009, effective February 24, 2017; amended at 41

Ill. Reg. 13665, effective October 30, 2017; amended at 42 Ill. Reg. 1886, effective January 3,

2018; amended at 42 Ill. Reg. ______, effective ____________.

Section 1030.92 Restrictions

a) A driver services facility representative shall have the authority to determine

license restrictions. No restriction shall be added until the driving test, if required,

is given unless the restriction is due to a vision or hearing defect.

b) If a change in a person's physical and/or visual condition is discovered by a

facility representative, the representative has the authority to add, delete or change

the restrictions.

c) A Type B restriction requires corrective eye lenses. This restriction is added

when a person needs corrective eye lenses to meet visual acuity standards as

provided in Section 1030.70. This restriction includes eye glasses and contact

lenses in one or both eyes, pursuant to Section 1030.75.

d) A Type C restriction requires the driver to use one or more mechanical aids (e.g.,

hand operated brake, gearshift extension, shoulder harness, or foot operated

steering wheel) to assist with the proper and safe operation of the vehicle.

e) A Type D restriction requires the driver to use one or more prosthetic aids (e.g.,

artificial legs, artificial hands, hook on right or left arm, or brace on each leg)

while operating a motor vehicle.

f) A Type E restriction requires automatic transmission. An automatic transmission

restriction is added when a driver of a commercial motor vehicle uses an

automatic transmission during the pre-trip, skills and road portions of a

commercial driver's license test as provided in FMCSR (49 CFR 383.95(c);


18

SECRETARY OF STATE


October 1, 2014).

g) A Type F restriction requires left and right outside rearview mirrors when a driver

is hearing impaired, has a monocular visual acuity reading of 20/100 or worse in

either eye, requires a right outside rearview mirror because of problems turning

the head while backing, cannot meet the peripheral vision requirements of Section

1030.70(a), and/or takes the road test in a right hand-driven vehicle with the

steering wheel on the right side. A driver may be restricted to both left and right

rearview mirrors if minimum peripheral standards are met by the use of only one

eye in accordance with Sections 1030.70 and 1030.75.

h) A Type G restriction requires the driver to drive only in the daylight. This

restriction is added when a driver has binocular visual acuity that does not meet

the 20/40 minimum in accordance with Section 1030.70(a), but is not worse than

20/70. People who want to drive utilizing a non-standard lens arrangement

pursuant to Section 1030.75 are restricted to daylight driving only.

i) A Type J restriction with appropriate numerical indicators includes other

restrictions not listed in this Section. These Type J restrictions and numerical

indicators are as follows:

1) J01 Driver has been issued an Illinois Medical Restriction Card, which

must be carried in addition to a valid Illinois driver's

license/permit.

2) J02 Driver authorized to operate a religious organization bus within

classification, as provided in IVC Section 6-106.2.

3) J03 Driver authorized to operate a religious organization bus or van

within Class D only. The driver took the religious organization

bus test in a Class D vehicle, but may hold a Class A, B or C

license.

4) J04 Driver authorized to operate a religious organization bus or van

within Class C or a lesser classification vehicle only. The driver

took the religious organization bus test in a Class C vehicle, but

may hold a Class A or B license.

5) J05 Driver authorized to operate a senior citizen transportation vehicle


18

SECRETARY OF STATE


within classification. The driver operates a vehicle that is utilized

solely for the purpose of providing transportation for senior

citizens, as provided in IVC Section 6-106.3.


within Class D only. The driver took the senior citizen

transportation vehicle test in a Class D vehicle, but may hold a

Class A, B or C license.


within written Class C vehicle, or a lesser classification vehicle

only. The driver took the senior citizen transportation vehicle test

in a Class C vehicle, but may hold a Class A or B license.

8) J08 Driver authorized to operate a commuter van in a for-profit

ridesharing arrangement within classification, as provided in IVC

Section 6-106.4.

9) J09 Driver who is 16 or 17 years of age authorized to operate either

Class L motor-driven cycles or Class M motorcycles, as provided in

IVC Section 6-103(2).

10) J10 Driver restricted to the operation of a vehicle with a GVWR of

16,000 pounds or less.

11) J11 Indicates the driver took the road test on a three-wheel motorcycle

(Class M) or three-wheel motor-driven cycle (Class L) and is

restricted to a three-wheel cycle of the proper class.

12) J14 Restricted to the use of a non-standard lens arrangement pursuant to

Section 1030.75 when operating a motor vehicle. (Lens

arrangement may be designed for monocular or binocular vision.)

13) J15 Special Restrictions − An applicant may have special restrictions

applied specifically to the vehicle the applicant is operating at the

time a road test is being administered by a facility examiner. These

special restrictions may apply only when the applicant is operating

that particular motor vehicle. This J15 restriction only applies to

variations of C, D or E restrictions. To remove a special restriction


18

SECRETARY OF STATE


or to operate another motor vehicle would require the applicant to be

administered another road test in the new vehicle.

14) J16 Moped Only – Authorizes an applicant holding a Class L license to

operate a moped only.

15) J17 Authorizes a person holding a Class L or M license to operate a

motorcycle or motor driven cycle with rear wheel extensions while

maintaining a single front wheel.

16) J33 Driver authorized to operate a Class D vehicle using a non-standard

lens arrangement, pursuant to Section 1030.75, during nighttime

hours.

17) J50 Farm Waived Non-CDL Farm Vehicle Driver – FVD (Class A

truck/tractor, semi-trailer combination vehicles only) – Allows

farmers or a member of the farmer's family who is 21 years of age or

older and has completed all of the applicable exams (core,

combination, air brake, and all three parts of the skills test) to drive a

farm waived non-CDL (Class A truck/tractor, semi-trailer

combination vehicles only) vehicle. Those eligible may operate the

truck/tractor semi-trailer to transport farm products, equipment or

supplies to or from a farm, if used within 150 air miles of the farm,

and not used in the operations of a common or contract carrier.

18) J51 Farm Waived Non-CDL Covered Farm Vehicle Driver – CFV

(Class A truck/tractor, semi-trailer combination vehicles only) –

Allows farmers, members of the farmer's family or employees of the

farmer who are 18 years of age or older driving intrastate or 21 years

of age or older driving interstate and has completed all of the

applicable exams (core, combination, air brake, and all three parts of

the skills test) to drive a farm waived non-CDL (Class A

truck/tractor, semi-trailer combination vehicles only) covered farm

vehicle. Those eligible may operate the truck/tractor, semi-trailer to

transport farm products, equipment or supplies to or from a farm, if

used within this State or interstate within 150 air miles of the farm,

and not used in the operations of a common or contract carrier. The

vehicle must be a covered farm vehicle as defined by law with

Illinois Farm plates.


18

SECRETARY OF STATE


19) J60 Automatic Transmission − An automatic transmission restriction is

added when a driver is unable to operate a standard shift

non-commercial vehicle due to the minimal use of one or both arms

and/or legs.

20) J71 No Photo or Signature – Outout of state at the time of

issuancerenewal – license issued to driver who is temporarily absent

from State of Illinois at expiration date of his/her driver's license.

21) J72 No Photo or Signature – Outout of country at the time of

issuancerenewal – license issued to driver who is temporarily

residing outside the United States of America at the expiration date

of his/her driver's license.

22) J73 No Photo or Signature – Militarymilitary or military dependent –

license issued toat the expiration of the driver's license of the

licensee, spouse and dependent children who are living with the

licensee while on active duty serving in the Armed Forces of the

United States outside the State of Illinois.

23) J74 Military deferral card issued at the expiration of the driver's license

to extend the expiration while in the military of the licensee, spouse

and dependent children who are living with the licensee while on

active duty serving in the Armed Forces of the United States outside

the State of Illinois.

24) J75 No Photo or Signature – administrative approval license to driver

who having his/her photograph taken is against his/her religious

convictions or has a serious facial disfigurement.

25) J88 Deaf/Hard of Hearing − requires alternative forms of

communication.

26) J89 Aphasia – an impairment of language ability.

27) J90 BAIID Only – requires the driver to operate only motor vehicles

equipped with a Breath Alcohol Ignition Interlock Device (BAIID).


18

SECRETARY OF STATE


28) J91 Mental Health Disorder – made available upon:

A) the request of the applicant; and

B) the submission of an SOS medical report form (http://www.

cyberdriveillinois.com/publications/pdf_publications/dsd_dc163.

pdf) completed by an applicant's treating provider (Doctor licensed

to practice medicine in all its branches (MD)/Doctor of

Osteopathic Medicine (DO) or Nurse Practitioner (NP)/Physician

Assistant (PA)), indicating that the applicant has a mental health

disorder and is mentally fit to operate a vehicle.

29) J99 Indicates more than two J restrictions have been placed on the

license.

j) A Type K restriction indicates the driver is authorized to operate a commercial

motor vehicle intrastate only.

k) A Type L restriction indicates that the person is not authorized to operate vehicles

equipped with air brakes.

l) A Type M restriction indicates P endorsement only valid in a Class B or lesser

classification vehicle.

m) A Type N restriction indicates P endorsement only valid in a Class C or lesser

classification vehicle.

n) A Type O restriction prohibits a commercial motor vehicle driver from operating

a combination vehicle with a fifth wheel assembly as provided by 49 CFR

383.153(a)(10) (October 1, 2014).

o) A Type P restriction allows a commercial learner's permit holder to operate a

vehicle designed to carry passengers, without passengers aboard, exempting a

company trainer or State or federal examiner as provided by 49 CFR

383.153(b)(9) (October 1, 2014).

p) A type V restriction indicates FMCSA has granted a medical variance to operate a

CMV within the boundaries of the United States as provided by 49 CFR 391.41

(October 1, 2014).


18

SECRETARY OF STATE


q) A Type X restriction allows a commercial learner's permit holder to operate a tank

truck or tank truck tractor/trailer combination void of any type of liquid and/or

gaseous materials in the tank as provided by 49 CFR 383.153(b)(9) (October 1,

2014).

r) A Type Z restriction limits a commercial motor vehicle driver to operating a

commercial motor vehicle with air over hydraulic braking system as provided by

49 CFR 383.153(b)(10) (October 1, 2014).

s) An applicant who wants to appeal a type of restriction that has been added to a

driver's license, depending on the type of restriction, shall:

1) For Type B, C, D, F, G, J01, J60 or any other medical restriction that has

been added to the driver's license pursuant to the restrictions contained in

subsection (i), follow the manner prescribed by this Part.

2) For any other types of restrictions that have been added to the driver's

license pursuant to this Section, appeal to the Department of

Administrative Hearings pursuant to IVC Section 2-118.

3) Further review of all restrictions shall be conducted by the courts pursuant

to the Administrative Review Law [735 ILCS 5/Art. III].



18

ILLINOIS GAMING BOARD

NOTICE OF ADOPTED AMENDMENTS

1) Heading of the Part: Video Gaming (General)


3) Section Numbers: Adopted Actions:

1800.110 Amendment

1800.320 Amendment

1800.1710 New Section




4) Statutory Authority: Authorized by the Video Gaming Act [230 ILCS 40], specifically

Section 78 (a) (3) of that Act [230 ILCS 40/78 (a) (3)].

5) Effective Date of Rules: February 2, 2018


7) Does this rulemaking contain an incorporation by reference? No

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

in the principal office and is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 2777; March 10, 2017

10) Has JCAR issued a Statement of Objection to this rulemaking? No

11) Differences between Proposal and Final Version:

In Section 1800.320 (a)(2) deleted the word "improper" which had been added in the

First Notice version of the rulemaking, thus clarifying that this subsection applies to any

inducements offered by a terminal operator to a licensed video gaming location.

In Section 1800.320 (a)(8) changed the maximum period for a use agreement from 5

years to 8 years.


18



New Section 1800.1710 is amended to allow video gaming managers to conduct

conversations about responsible gaming with video gaming players at a licensed video

gaming location.

New Section 1800.1710 is amended to provide that owners, persons with significant

control, employees whose job duties involve an aspect of video gaming operations, and

video gaming managers do not have an obligation to conduct conversations about video

gaming with video gaming players, although they have a right to do so.

New Section 1800.1710 is amended to provide that a licensed video gaming location will

not be liable if a person enrolled in the Board's self-exclusion program established under

Subpart G of 86 Ill. Adm. Code Part 3000 or the problem gambling registry created by

new Section 1800.1730 of this rulemaking plays a video gaming terminal on the premises

of the licensed video gaming location.

New Section 1800.1720 (a) is amended to require video gaming managers to complete an

on-line course of study in responsible gaming within 30 days after the course of study is

made available to the public, or the person becomes a video gaming manager.

New Section 1800.1730 is amended to provide that the regular e-mails provided to

enrollees in the confidential problem gambling registry for video gaming shall include

links only to those problem gambling prevention and treatment resources which are

available in Illinois.

New Section 1800.1730 is amended to allow both Illinois out-of-state residents to enroll

in the confidential problem gambling registry for video gaming. The rulemaking

previously allowed only Illinois residents to enroll in this registry.

Various Second Notice changes make non-substantive technical or stylistic corrections.

12) Have all the changes agreed upon by the Agency and JCAR been made as indicated in the

agreement letter issued by JCAR? Yes


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

Section Numbers: Proposed Actions: Illinois Register Citations:



18



1800.570 Amendment 41 Ill. Reg. 7409; June 30, 2017

1800.595 New Section 41 Ill. Reg. 7409; June 30, 2017



1800.110 Amendment 41 Ill. Reg. 12670; October 13, 2017

1800.420 Amendment 41 Ill. Reg. 12670; October 13, 2017

15) Summary and Purpose of Rulemaking: The rulemaking provides the following:

Use Agreements: 11 Ill. Adm. Code 1800.320 (Minimum Standards for Use

Agreements) is amended to impose the following requirements on all use agreements

entered into between terminal operators and licensed video gaming locations on or after

the rulemaking's effective date:

A use agreement shall state which sales agent, broker, or other person, if any, procured

the use agreement on behalf of the terminal operator;

A use agreement shall not provide for automatic renewal in the absence of cancellation;

and

A use agreement shall not be for a length of time exceeding 8 years.

The rulemaking additionally requires the Board to promulgate a standard form for use

agreements. All new and renewed use agreements entered into after the effective date

shall incorporate the language of the standard form and shall be consistent with the

standard form in all respects.

Responsible gaming: The rulemaking adds a new Subpart Q entitled "Responsible

Gaming." This new subpart provides the following:

Conversations about responsible gaming: Declares a right, but not an obligation, for

licensed video gaming location owners, Persons with Significant Influence or Control

(PSICs), persons employed in any capacity relating to video gaming operations and video

gaming managers to engage in conversations about responsible gaming with any person

engaged in video gaming play.

Training and education: Establishes an on-line training and education course on

responsible gaming, and requires completion of this course by all video gaming location

owners, video gaming managers, PSICs, and persons employed in any capacity relating


18



to video gaming operations as a condition for license issuance and renewal. The Board

shall prepare the contents of this course, which shall be offered free of charge to

enrollees. The course of study shall define responsible gaming and provide instruction on

conversational techniques with customers whose behavior indicates they may have a

gaming problem. The recommended conversational techniques shall be informative and

non-judgmental, provide players with helpful information about the random nature of

video gaming play and long-term prospects of winning, and recommend appropriate

means of providing information to video gaming players concerning problem gambling

resources in Illinois. Completion of the course shall be required within 30 days of the

date the course is made available to the public, or the person becomes an owner, video

gaming manager, PSIC, or employee of the location in a capacity related to video

gaming. The rulemaking authorizes the Board to contract for and use materials and

programs offered by any public or private entity, including but not limited to those

prepared by other state governments.

Problem gambling registry: Establishes a voluntary, confidential problem gambling

Board registry for video gaming. The purpose of this registry is to encourage problem

gamblers to pursue needed gambling prevention and treatment initiatives. Persons

enrolling in the registry will be issued regular e-mails exploring issues relating to

problem gambling and be provided with links to problem gambling prevention and

treatment resources. Individuals enrolled in the registry may cancel their enrollments at

any time. Both Illinois and out-of-state residents are eligible for enrollment in the

registry.

Message on video gaming terminals: Allows the Board to utilize technology to include a

message on the interface of video gaming terminals to assist players in responsible

gaming and prevent problem gambling from occurring.

Definitions: In connection with the creation of the new Responsible Gaming Subpart, the

rulemaking adds definitions of "problem gambling" and "responsible gaming" to 11 Ill

Adm. Code 1800.110 (Definitions).

"Problem gambling" is defined as a repetitive set of gambling behaviors that negatively

impacts someone's life.

"Responsible gaming" is defined to include all of the following:

Policies for reducing harms related to gaming;


18



Providing a transparent and fair game;

Playing within time and money limits; and

Gaming for entertainment and fun.

16) Information and Questions regarding these adopted rules may be addressed to:

Agostino Lorenzini

General Counsel

Illinois Gaming Board

160 North LaSalle Street

Chicago IL 60601

fax: 312/814-7253

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


18



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

SUBTITLE D: VIDEO GAMING

CHAPTER I: ILLINOIS GAMING BOARD

PART 1800

VIDEO GAMING (GENERAL)


Section


1800.115 Gender

1800.120 Inspection

1800.130 Board Meetings

SUBPART B: DUTIES OF LICENSEES

Section

1800.210 General Duties of All Video Gaming Licensees

1800.220 Continuing Duty to Report Information

1800.230 Duties of Licensed Manufacturers

1800.240 Duties of Licensed Distributors

1800.250 Duties of Licensed Video Terminal Operators

1800.260 Duties of Licensed Technicians and Licensed Terminal Handlers

1800.270 Duties of Licensed Video Gaming Locations

SUBPART C: STANDARDS OF CONDUCT FOR LICENSEES

Section

1800.310 Grounds for Disciplinary Actions

1800.320 Minimum Standards for Use Agreements

1800.330 Economic Disassociation

SUBPART D: LICENSING QUALIFICATIONS

Section

1800.410 Coverage of Subpart

1800.420 Qualifications for Licensure

1800.430 Persons with Significant Influence or Control


18



1800.440 Undue Economic Concentration

SUBPART E: LICENSING PROCEDURES

Section


1800.520 Applications

1800.530 Submission of Application

1800.540 Application Fees

1800.550 Consideration of Applications by the Board

1800.555 Withdrawal of Applications and Surrender of Licenses

1800.560 Issuance of License

1800.570 Renewal of License

1800.580 Renewal Fees and Dates

1800.590 Death and Change of Ownership of Video Gaming Licensee

SUBPART F: DENIALS OF APPLICATIONS FOR LICENSURE

Section


1800.615 Requests for Hearing

1800.620 Appearances

1800.625 Appointment of Administrative Law Judge

1800.630 Discovery

1800.635 Subpoenas

1800.640 Motions for Summary Judgment

1800.650 Proceedings

1800.660 Evidence

1800.670 Prohibition on Ex Parte Communication

1800.680 Sanctions and Penalties

1800.690 Transmittal of Record and Recommendation to the Board

1800.695 Status of Applicant for Licensure Upon Filing Request for Hearing

SUBPART G: DISCIPLINARY ACTIONS AGAINST LICENSEES

Section


1800.715 Notice of Proposed Disciplinary Action Against Licensees

1800.720 Hearings in Disciplinary Actions


18



1800.725 Appearances

1800.730 Appointment of Administrative Law Judge

1800.735 Discovery

1800.740 Subpoenas

1800.745 Motions for Summary Judgment

1800.750 Proceedings

1800.760 Evidence

1800.770 Prohibition on Ex Parte Communication

1800.780 Sanctions and Penalties

1800.790 Transmittal of Record and Recommendation to the Board

1800.795 Persons Subject to Proposed Orders of Economic Disassociation

SUBPART H: LOCATION OF VIDEO GAMING TERMINALS IN

LICENSED VIDEO GAMING LOCATIONS

Section

1800.810 Location and Placement of Video Gaming Terminals

1800.815 Licensed Video Gaming Locations Within Malls

1800.820 Measurement of Distances from Locations

1800.830 Waivers of Location Restrictions

SUBPART I: SECURITY INTERESTS

Section

1800.910 Approvals Required, Applicability, Scope of Approval

1800.920 Notice of Enforcement of a Security Interest

1800.930 Prior Registration

SUBPART J: TRANSPORTATION, REGISTRATION,

AND DISTRIBUTION OF VIDEO GAMING TERMINALS

Section

1800.1010 Restriction on Sale, Distribution, Transfer, Supply and Operation of Video

Gaming Terminals

1800.1020 Transportation of Video Gaming Terminals into the State

1800.1030 Receipt of Video Gaming Terminals in the State

1800.1040 Transportation of Video Gaming Terminals Between Locations in the State

1800.1050 Approval to Transport Video Gaming Terminals Outside of the State

1800.1060 Placement of Video Gaming Terminals


18



1800.1065 Registration of Video Gaming Terminals

1800.1070 Disposal of Video Gaming Terminals

SUBPART K: STATE-LOCAL RELATIONS

Section

1800.1110 State-Local Relations

SUBPART L: FINGERPRINTING OF APPLICANTS

Section


1800.1220 Entities Authorized to Perform Fingerprinting

1800.1230 Qualification as a Livescan Vendor

1800.1240 Fingerprinting Requirements

1800.1250 Fees for Fingerprinting

1800.1260 Grounds for Revocation, Suspension and Denial of Contract

SUBPART M: PUBLIC ACCESS TO INFORMATION

Section

1800.1310 Public Requests for Information

SUBPART N: PAYOUT DEVICES AND REQUIREMENTS

Section

1800.1410 Ticket Payout Devices

1800.1420 Redemption of Tickets Following Removal or Unavailability of Ticket Payout

Devices

SUBPART O: NON-PAYMENT OF TAXES

Section

1800.1510 Non-Payment of Taxes

SUBPART P: CENTRAL COMMUNICATIONS SYSTEM

Section

1800.1610 Use of Gaming Device or Individual Game Performance Data


18



SUBPART Q: RESPONSIBLE GAMING

Section

1800.1710 Conversations About Responsible Gaming

1800.1720 Responsible Gaming Education Programs

1800.1730 Problem Gambling Registry

1800.1740 Utilization of Technology to Prevent Problem Gambling

AUTHORITY: Implementing and authorized by the Video Gaming Act [230 ILCS 40].

SOURCE: Adopted by emergency rulemaking at 33 Ill. Reg. 14793, effective October 19, 2009,

for a maximum of 150 days; adopted at 34 Ill. Reg. 2893, effective February 22, 2010;


emergency expired November 11, 2010; amended at 35 Ill. Reg. 1369, effective January 5, 2011;

emergency amendment at 35 Ill. Reg. 13949, effective July 29, 2011, for a maximum of 150

days; emergency expired December 25, 2011; amended at 36 Ill. Reg. 840, effective January 6,

2012; amended by emergency rulemaking at 36 Ill. Reg. 4150, effective February 29, 2012, for a

maximum of 150 days; amended at 36 Ill. Reg. 5455, effective March 21, 2012; amended at 36

Ill. Reg. 10029, effective June 28, 2012; emergency amendment at 36 Ill. Reg. 11492, effective

July 6, 2012, for a maximum of 150 days; emergency expired December 2, 2012; emergency

amendment at 36 Ill. Reg. 12895, effective July 24, 2012, for a maximum of 150 days; amended

at 36 Ill. Reg. 13178, effective July 30, 2012; amended at 36 Ill. Reg. 15112, effective October 1,

2012; amended at 36 Ill. Reg. 17033, effective November 21, 2012; expedited correction at 39

Ill. Reg. 8183, effective November 21, 2012; amended at 36 Ill. Reg. 18550, effective December

14, 2012; amended at 37 Ill. Reg. 810, effective January 11, 2013; amended at 37 Ill. Reg. 4892,

effective April 1, 2013; amended at 37 Ill. Reg. 7750, effective May 23, 2013; amended at 37 Ill.

Reg. 18843, effective November 8, 2013; emergency amendment at 37 Ill. Reg. 19882, effective

November 26, 2013, for a maximum of 150 days; emergency amendment suspended by the Joint

Committee on Administrative Rules at 38 Ill. Reg. 3384, effective January 14, 2014; suspension

withdrawn at 38 Ill. Reg. 5897; emergency repeal of emergency amendment at 38 Ill. Reg. 7337,

effective March 12, 2014, for the remainder of the 150 days; amended at 38 Ill. Reg. 849,

effective December 27, 2013; amended at 38 Ill. Reg. 14275, effective June 30, 2014; amended

at 38 Ill. Reg. 19919, effective October 2, 2014; amended at 39 Ill. Reg. 5401, effective March

27, 2015; amended at 39 Ill. Reg. 5593, effective April 1, 2015; amended at 40 Ill. Reg. 2952,

effective January 27, 2016; amended at 40 Ill. Reg. 8760, effective June 14, 2016; amended at 40

Ill. Reg. 12762, effective August 19, 2016; amended at 40 Ill. Reg. 15131, effective October 18,

2016; emergency amendment at 41 Ill. Reg. 2696, effective February 7, 2017, for a maximum of

150 days; amended at 41 Ill. Reg. 2939, effective February 24, 2017; amended at 41 Ill. Reg.


18



4499, effective April 14, 2017; amended at 41 Ill. Reg. 10300, effective July 13, 2017; amended

at 42 Ill. Reg. 3126, effective February 2, 2018.



For purposes of this Part the following terms shall have the following meanings:

"Act": The Video Gaming Act [230 ILCS 40].

"Adjusted gross receipts" means the gross receipts less winnings paid to wagerers.

The value of expired vouchers shall be included in computing adjusted gross

receipts.

"Administrator": The chief executive officer responsible for day-to-day operations

of the Illinois Gaming Board.

"Affiliate": An "affiliate of", or person "affiliated with", a specified person shall

mean a person that directly, or indirectly through one or more intermediaries,

controls, or is controlled by, or is under common control with, such person.

"Affiliated entity": An "affiliated entity" of a person is any business entity that

directly or indirectly, through one or more intermediaries, controls, is controlled

by, or is under common control with, the person.

"Applicant": A person applying for any license under the Act.

"Application": All material submitted, including the instructions, definitions,

forms and other documents issued by the Illinois Gaming Board, comprising the

video gaming license application submitted to the Illinois Gaming Board.

"Associated video gaming equipment": Ticket payout systems and validation

procedures; wireless, promotional and bonusing systems; kiosks; gaming-related

peripherals; hardware, software and systems; and other gaming devices and

equipment for compliance with:

Illinois laws, regulations and requirements as codified or otherwise set

forth; and


18



Board-approved video gaming industry standards.

"Attributed interest": A direct or indirect interest in an enterprise deemed to be

held by an individual not through the individual's actual holdings but either

through the holdings of the individual's relatives or through a third party or parties

on behalf of the individual pursuant to a plan, arrangement, agreement or contract.

"Board": The Illinois Gaming Board.

"Business entity" or "Business": A partnership, incorporated or unincorporated

association or group, firm, corporation, limited liability company, partnership for

shares, trust, sole proprietorship or other business enterprise.

"Chi-square test": A statistical test used to determine if a relationship between

variables exists by comparing expected and observed cell frequencies.

Specifically, a chi-square test examines the observed frequencies in a category

and compares them to what would be expected by chance or would be expected if

there was no relationship between variables.

"Control": The possession, direct or indirect, of power to direct or cause the

direction of the management and policies of an applicant or licensee through the

ownership of voting securities, by contract or otherwise.

"Convenience store": A retail store that is open long hours and sells motor fuel

and a limited selection of snacks and general goods.

"Credit": One, five, 10 or 25 cents.

"Distributor": An individual, partnership, corporation or limited liability

company licensed under the Act to buy, sell, lease or distribute video gaming

terminals or major components or parts of video gaming terminals to or from

terminal operators.

"Enforce a security interest": To transfer possession of ownership or title

pursuant to a security interest.

"EPROM": An acronym for Erasable, Programmable, Read Only Memory, which

is a microprocessor component that stores memory and affects payout percentage


18



and/or contains a random number generator that selects the outcome of a game on

a video gaming terminal.

"Facility-pay" or "facility payment" means a manual payment of currency by an

authorized employee of a licensed video gaming location or an authorized

employee of a terminal operator for amounts owed to a patron by a video gaming

terminal when a video gaming terminal or ticket payout device has malfunctioned

and is unable to produce or redeem a ticket.

"Fraternal organization": An organization or institution organized and conducted

on a not-for-profit basis with no personal profit inuring to anyone as a result of

the operation and that is exempt from federal income taxation under section

501(c)(8) or (c)(10) of the Internal Revenue Code (26 USC 501(c)(8) or (c)(10)).

"Game": A gambling activity that is played for money, property or anything of

value, including without limitation those played with cards, chips, tokens,

vouchers, dice, implements, or electronic, electrical or mechanical devices or

machines.

"Gaming": The dealing, operating, carrying on, conducting, maintaining or

exposing for play of any game.

"Gaming operation": The conducting of gaming or the providing or servicing of

gaming equipment.

"Gaming property collateral": Video gaming equipment subject to a security

interest.

"Illinois resident":

With respect to an individual, an individual who is either:

domiciled in Illinois or maintains a bona fide place of abode in

Illinois; or

is required to file an Illinois tax return during the taxable year.

With respect to a corporation, any corporation organized under the laws of

this State and any foreign corporation with a certificate of authority to


18



transact business in Illinois. A foreign corporation not authorized to

transact business in this State is a nonresident of this State.

With respect to a partnership, a partnership in which any partner is an

Illinois resident, or where the partnership has an office and is doing

business in Illinois.

With respect to an irrevocable trust, a trust where the grantor was an

Illinois resident individual at the time the trust became irrevocable.

"Institutional investor":

A retirement fund administered by a public agency for the exclusive

benefit of federal, state or local public employees;

An investment company registered under section 8 of the Investment

Company Act of 1940 (15 USC 80a-8);

A collective investment trust organized by a bank under Part 9 of the

Rules of the Comptroller of the Currency (12 CFR 9.18);

A closed end investment trust registered with the United States Securities

and Exchange Commission;

A chartered or licensed life insurance company or property and casualty

insurance company;

A federal or state bank;

An investment advisor registered under the Investment Advisors Act of

1940 (15 USC 80b-1 through 80b-21); or

Such other person as the Illinois Gaming Board may determine for reasons

consistent with the Act and this Part.

"License": Authorization granted by the Board permitting a licensee to engage in

the defined activities of video gaming.


18



"Licensed establishment": Any retail establishment licensed under the Act where

alcoholic liquor is drawn, poured, mixed or otherwise served for consumption on

the premises. Licensed establishment does not include a facility operated by an

organization licensee, an intertrack wagering licensee, or an intertrack wagering

location licensee licensed under the Illinois Horse Racing Act of 1975 [230 ILCS

5] or a riverboat licensed under the Riverboat Gambling Act [230 ILCS 10].

"Licensed fraternal establishment": The location licensed under the Act where a

qualified fraternal organization that derives its charter from a national fraternal

organization regularly meets.

"Licensed technician": An individual who is licensed under the Act to repair,

service and maintain video gaming terminals. A licensed technician is not

licensed under the Act to possess or control a video gaming terminal or have

access to the inner workings of a video gaming terminal (i.e., the logic area

maintained in a separately locked cabinet of the video gaming terminal that

houses electronic components that have the potential to significantly influence the

operation of the video gaming terminal).

"Licensed terminal handler": A person, including but not limited to an employee

or independent contractor working for a manufacturer, distributor, supplier,

technician or terminal operator, who is licensed under the Act to possess or

control a video gaming terminal or to have access to the inner workings of a video

gaming terminal. A licensed terminal handler does not include an individual,

partnership, corporation or limited liability company defined as a manufacturer,

distributor, supplier, technician or terminal operator under Section 5 of the Act.

"Licensed truck stop establishment": A facility licensed under the Act that is at

least a 3-acre facility with a convenience store, that has separate diesel islands for

fueling commercial motor vehicles, that sells at retail more than 10,000 gallons of

diesel or biodiesel fuel per month, and that has parking spaces for commercial

motor vehicles. "Commercial motor vehicles" has the same meaning as defined

in Section 18b-101 of the Illinois Vehicle Code [625 ILCS 5/18b-101]. The

10,000 gallon requirement may be met by showing that estimated future sales or

past sales average at least 10,000 gallons per month.

"Licensed veterans establishment": The location licensed under the Act where a

qualified veterans organization that derives its charter from a national veterans

organization regularly meets.


18



"Licensed video gaming location": A licensed establishment, licensed fraternal

establishment, licensed veterans establishment, or licensed truck stop

establishment, all as defined in Section 5 of the Act and this Part.

"Liquor license": A license issued by a governmental body authorizing the holder

to sell and offer for sale at retail alcoholic liquor for use or consumption.

"Major components or parts": Components or parts that comprise the inner

workings and peripherals of a video gaming terminal, including but not limited to

the device's hardware, software, human interface devices, interface ports, power

supply, ticket payout system, bill validator, printer and any component that affects

or could affect the result of a game played on the device.

"Manufacturer": An individual, partnership, corporation or limited liability

company that is licensed under the Act and that manufactures or assembles video

gaming terminals.

"Net terminal income": Money put into a video gaming terminal minus credits

paid out to players.

"Nominee": Any individual or business entity that holds as owner of record the

legal title to tangible or intangible personal or real property, including without

limitation any stock, bond, debenture, note, investment contract or real estate on

behalf of another individual or business entity, and as such is designated and

authorized to act on his, her or its behalf with respect to the property.

"Ownership interest": Includes, but is not limited to, direct, indirect, beneficial or

attributed interest, or holder of stock options, convertible debt, warrants or stock

appreciation rights, or holder of any beneficial ownership or leasehold interest in

a business entity.

"Payout device": A device, approved by the Board and provided by a supplier or

distributor, that redeems for cash tickets dispensed by a video gaming terminal in

exchange for credits accumulated on a video gaming terminal.

"Person": Includes both individuals and business entities.

"Person with significant interest or control": Any of the following:


18



Each person in whose name the liquor license is maintained for each

licensed video gaming location;

Each person who, in the opinion of the Administrator, has the ability to

influence or control the activities of the applicant or licensee, or elect a

majority of its board of directors, other than a bank or licensed lending

institution that holds a mortgage or other lien, or any other source of

funds, acquired in the ordinary course of business;

Persons having the power to exercise significant influence or control over

decisions concerning any part of the applicant's or licensee's video gaming

operation;

Each person who receives any net terminal income pursuant to a

contractual agreement;

Any business entity that holds an option agreement to acquire an equity

stake in a terminal operator licensee.

"Place of worship under the Religious Corporation Act": A structure belonging

to, or operated by, a church, congregation or society formed for the purpose of

religious worship and eligible for incorporation under the Religious Corporation

Act [805 ILCS 110], provided that the structure is used primarily for purposes of

religious worship and related activities.

"Problem gambling": "A repetitive set of gaming behaviors that negatively

impacts someone's life.

"Redemption period": The one-year period, starting on the date of issuance,

during which a ticket dispensed by a video gaming terminal may be redeemed for

cash.

"Responsible gaming" means all of the following:

Policies for reducing harms related to gaming;

Providing a transparent and fair game;


18



Playing within time and money limits; and

Gaming for entertainment and fun.

"Secured party": A person who is a lender, seller or other person who holds a

valid security interest.

"Security": An ownership right or creditor relationship.

"Security agreement": An agreement that creates or provides a security interest,

including but not limited to a use agreement.

"Security interest": An interest in property that secures the payment or

performance of an obligation or judgment.

"Sole proprietor": An individual who in his or her own name owns 100% of the

assets and who is solely liable for the debts of a business.

"Substantial interest": With respect to a partnership, a corporation, an

organization, an association, a business or a limited liability company means:

When, with respect to a sole proprietorship, an individual or his or her

spouse owns, operates, manages, or conducts, directly or indirectly, the

organization, association or business, or any part thereof; or

When, with respect to a partnership, the individual or his or her spouse

shares in any of the profits, or potential profits, of the partnership

activities; or

When, with respect to a corporation, an individual or his or her spouse is

an officer or director or the individual or his or her spouse is a holder,

directly or beneficially, of 5% or more of any class of stock of the

corporation; or

When, with respect to a limited liability company, an individual or his or

her spouse is a member, or the individual or his or her spouse is a holder,

directly or beneficially, of 5% or more of the membership interest of the

limited liability company; or


18



When, with respect to any other organization not covered in the preceding

four paragraphs, an individual or his or her spouse is an officer or manages

the business affairs, or the individual or his or her spouse is the owner of,

or otherwise controls, 10% or more of the assets of the organization; or

When an individual or his or her spouse furnishes 5% or more of the

capital, whether in cash, goods or services, for the operation of any

business, association or organization during any calendar year.

For purposes of this definition, "individual" includes all individuals or their

spouses whose combined interest would qualify as a substantial interest under

this definition and whose activities with respect to an organization,

association, or business are so closely aligned or coordinated as to constitute

the activities of a single entity.

"Supplier": An individual, partnership, corporation or limited liability company

that is licensed under the Act to supply major components or parts to video

gaming terminals to licensed terminal operators.

"Terminal operator": An individual, partnership, corporation or limited liability

company that is licensed under the Act that owns, services, and maintains video

gaming terminals for placement in licensed establishments, licensed truck stop

establishments, licensed fraternal establishments or licensed veterans

establishments.

"Use agreement": A contractual agreement between a licensed terminal operator

and a licensed video gaming location establishing terms and conditions for

placement and operation of video gaming terminals by the licensed terminal

operator within the premises of the licensed video gaming location, and

complying with all of the minimum standards for use agreements contained in

Section 1800.320.

"Veterans organization": An organization or institution organized and conducted

on a not-for-profit basis with no personal profit inuring to anyone as a result of

the operation and that is exempt from federal income taxation under section

501(c)(19) of the Internal Revenue Code (26 USC 501(c)(19)).

"Video gaming equipment": Video gaming terminals, associated video gaming

equipment and major components or parts.


18



"Video gaming manager": An employee or owner or designated representative of

a licensed video gaming location who manages, oversees or is responsible for

video gaming operations at the location, and coordinates the video gaming

operations with a terminal operator or the central communications system vendor.

"Video gaming operation": As the context requires, the conducting of video

gaming and all related activities.

"Video gaming terminal": Any electronic video game machine that, upon

insertion of cash, is available to play or simulate the play of a video game,

including but not limited to video poker, line up and blackjack, as authorized by

the Board utilizing a video display and microprocessors in which the player may

receive free games or credits that can be redeemed for cash. The term does not

include a machine that directly dispenses coins, cash, or tokens or is for

amusement purposes only.

(Source: Amended at 42 Ill. Reg. 3126, effective February 2, 2018)

SUBPART C: STANDARDS OF CONDUCT FOR LICENSEES

Section 1800.320 Minimum Standards for Use Agreements

a) In addition to the requirements set forth in the Act, a Use Agreement must satisfy

the following:

1) Only be between:

A) a licensed terminal operator that, beginning July 15, 2014, is

licensed by the Board at the time the Use Agreement is signed; and

B) a licensed establishment, licensed truck stop establishment,

licensed veterans establishment or licensed fraternal establishment;

2) Contain an affirmative statement that no inducement was offered or

accepted regarding the placement or operation of video gaming terminals

in a licensed establishment, licensed truck stop establishment, licensed

veterans establishment or licensed fraternal establishment;


18



3) Contain an indemnity and hold harmless provision on behalf of the State,

the Board and its agents relative to any cause of action arising from a use

agreement;

4) Prohibit any assignment other than from a licensed terminal operator to

another licensed terminal operator;

5) Contain a provision that releases the video gaming location from any

continuing contractual obligation to the terminal operator in the event that

the terminal operator has its license revoked or denied, has its renewal

denied, or surrenders its license;.

6) State which sales agent, broker or other person, if any, procured the Use

Agreement on behalf of the terminal operator;

7) Not provide for automatic renewal in the absence of cancellation;

8) Not be for a length of time exceeding eight years.

b) Petitions

1) The Board shall decide a petition brought by a terminal operator or

licensed video gaming location alleging that a Use Agreement, or portion

of a Use Agreement, is invalid or unenforceable. Issues the Board has

authority to decide under this subsection (b) include, but are not limited to,

the following:

A) When two or more Use Agreements between a licensed video

gaming location and one or more terminal operators have

overlapping effective dates, which of the Use Agreements is valid

during the period of overlap.

B) Whether a Use Agreement, or portion of a Use Agreement,

complies with the requirements of the Act and this Part.

C) Whether a renewal provision in a Use Agreement poses such

obstacles against non-renewal, or confusion about the procedures

for non-renewal, as to constitute an undue burden on the licensed

video gaming location that has entered into the provision.


18



D) Whether a terminal operator or anyone on its behalf has used

coercion, deception, or an inducement or incentive in violation of

Section 25(c) of the Act or this Part to persuade a licensed video

gaming location to enter into or renew a Use Agreement.

2) Petitions under this subsection (b) shall be in writing and shall include an

original and one copy. Any petitioner under this Section shall bear the

burden of proof by clear and convincing evidence. A petition shall

contain the following:

A) The name, current address and current telephone number of the

petitioner.

B) Detailed facts and reasons upon which the petitioner relies in

arguing that a Use Agreement, or portion of a Use Agreement, is

invalid or unenforceable. Petitions may include documentary

evidence and affidavits.

C) A signature of the petitioner.

D) A verification of the petition in the following form:

"The undersigned certifies that the statements set forth in this

petition are true and correct, except as to matters therein stated to

be on information and belief, and as to such matters the

undersigned certifies that he or she verily believes the same to be

true."

E) A notarization.

3) Following receipt of a petition meeting the requirements of subsection

(b)(2), the Administrator shall promptly send by certified mail to each

non-petitioning terminal operator or licensed video gaming location

named in the petition a complete copy of the petition, including all

submitted documents. Non-petitioning parties named in the petition must

file a response within 21 days after their receipt of the petition. All

responses shall be in writing and shall include an original and one copy. A


18



response shall be deemed filed on the date on which it is postmarked. The

response shall contain the following:

A) The name, current address and current telephone number of the

licensee.

B) A clear and concise statement admitting or denying each of the

allegations set forth in the petition.

C) For all allegations that the licensee denies, detailed facts and

reasons upon which the non-petitioning party relies in arguing that

the Use Agreement, or portion of the Use Agreement, is valid or

enforceable. Responses may include documentary evidence and

affidavits.

D) A signature of the licensee.

E) A verification of the licensee in the following form:

"The undersigned certifies that the statements set forth in this

response are true and correct, except as to matters therein stated to

be on information and belief, and as to such matters the

undersigned certifies that he or she verily believes the same to be

true."

F) A notarization.

4) The Administrator shall promptly provide a petitioning party with

complete copies of all submitted responses meeting the requirements of

subsection (c)(2).

5) Before rendering a recommended decision, the Administrator may require

the parties to attend a conference to attempt to settle any dispute under this

subsection (b)(5).

6) Administrator's Recommended Decision

A) Following the expiration of the 21-day response period, the

Administrator shall issue a written recommended decision on the


18



validity or enforceability of the contested Use Agreement, or

contested portions of the Use Agreement, based on the contents of

the petition and any responses.

B) The Administrator's recommended decision shall set forth the

reasons the Administrator is recommending the granting or denial

of the petition. When the petition asserts more than one claim as to

the validity or enforceability of the Use Agreement, or a portion of

the Use Agreement, the Administrator shall separately decide each

claim.

C) Copies of the Administrator's recommended decision shall be

served on each party by personal delivery, certified mail or

overnight express mail to the party's last known address.

7) A petitioning party or party named in a petition brought under this

subsection (b) may file exceptions to the recommended decision of the

Administrator. The exception shall be filed with the Board no later than

14 days after receipt of the recommended decision. Exceptions shall

specify each finding of fact and conclusion of law to which exception is

taken. There shall be no oral argument on exceptions.

8) Prior to the Board rendering a decision, the Administrator may require the

parties to attend a conference to attempt to settle any dispute under this

subsection (b).

9) Any relief given by the Board under this subsection (b) shall be limited to

deciding which Use Agreement, or portion of the Use Agreement, is valid

for the placement and operation of video gaming terminals in a licensed

video gaming location. The Board has the express authority to order a

licensed terminal operator to remove its Video Gaming Terminals from a

licensed establishment if a Use Agreement, or portion of the Use

Agreement, is invalidated. The Board shall not award monetary damages

of any kind. Any failure by a party to abide by the Board's decision shall

subject the licensee to discipline.

10) Final Board Order


18



A) The Board shall review the entire record, including the petitions

filed, the Administrator's recommended decision, and any

exceptions filed, and shall render a written order including the

bases for its decision.

B) Copies of the final Board order shall be served on each licensee by

personal delivery, certified mail or overnight express mail to the

licensee's last known address.

C) A final Board order shall become effective upon personal delivery

to a party or upon posting by certified or overnight express mail to

the party's last known address.

c) The Board shall promulgate a standard form for Use Agreements and establish an

effective date for its implementation. All new and renewed Use Agreements

entered into on or after that effective date shall incorporate the language of the

standard form and shall be consistent with the standard form in all respects.


SUBPART Q: RESPONSIBLE GAMING

Section 1800.1710 Conversations About Responsible Gaming

Owners and persons with significant influence or control of a licensed video gaming location,

video gaming managers, and employees of a licensed video gaming location whose job duties

involve any aspect of video gaming operations, shall have a right, but not an obligation, to

conduct conversations about responsible gaming with video gaming players at the location. A

licensed video gaming location will not be liable if a person enrolled in the Board's self-

exclusion program established under 86 Ill. Adm. Code 3000.Subpart G or problem gambling

registry created by Section 1800.1730 of this Part plays a video gaming terminal on the premises

of the licensed video gaming location.

(Source: Added at 42 Ill. Reg. 3126, effective February 2, 2018)

Section 1800.1720 Responsible Gaming Education Programs

a) As a condition of initial licensure and license renewal of a licensed video gaming

location, all owners and persons with significant influence or control of the


18



location, video gaming managers, and all employees of the location whose

employment duties relate to any aspect of video gaming operations, shall be

required to complete an on-line course of study on responsible gaming.

Completion of this course shall be a condition of license issuance and renewal.

Completion of the course shall be required within 30 days after the date the course

is made available to the public, or the person becomes an owner, person with

significant influence or control, video gaming manager, or employee of the

location. Enrollment in the course shall be free of charge to the enrollee. The

course of study shall define responsible gaming and provide instruction on

conversational techniques with customers whose behavior indicates they may

have a gambling problem. The recommended conversational techniques shall be

informative and non-judgmental, provide players with helpful information about

the random nature of video gaming play and long-term prospects of winning, and

recommend appropriate means of providing information to video gaming players

concerning problem gambling resources.

b) In implementing the responsible gaming education program, the Board may

contract for and use educational materials and programs offered by any public or

private entity, including but not limited to those prepared by other state

governments.


Section 1800.1730 Problem Gambling Registry

The Board shall establish a voluntary, confidential problem gambling registry for video gaming.

Persons enrolled in the registry shall receive regular e-mails providing information on problem

gambling and containing links to problem gambling prevention and treatment resources available

in Illinois. Individuals enrolled in the problem gambling registry may cancel their enrollments at

any time. Both Illinois and out-of-state residents may enroll in the problem gambling registry.


Section 1800.1740 Utilization of Technology to Prevent Problem Gambling

The Board may utilize technology to include a message on the interface of video gaming

terminals to assist players in responsible gaming and prevent problem gambling from occurring.



18



1) Heading of the Part: Hospital Services



148.117 Amendment

148.140 Amendment

148.299 Amendment

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

5) Effective Date of Rules: January 31, 2018



8) A copy of the adopted rulemaking, including any materials incorporated by reference, is

on file in the Agency's principal office and is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 11508; September 15,

2017


11) Differences Between Proposal and Final Version: None


agreements issued by JCAR? No changes were requested and no agreements were

entered into.



15) Summary and Purpose of Rulemaking: This rulemaking restores the $60 per treatment

day renal dialysis add-on payment hospitals and freestanding chronic dialysis centers

received for outpatient renal dialysis treatments or home dialysis treatments provided to

Medicaid recipients under Title XIX of the Social Security Act pursuant to the FY18


18



Budget Implementation Act (PA 100-23) and implements revisions to the Medicaid

Facilitation and Utilization Payments and the Outpatient Assistance Adjustment

Payments for FY17 and FY18.

16) Information and questions regarding these adopted rules shall be directed to:

Mollie Zito

General Counsel

Illinois Department of Healthcare and Family Services

201 South Grand Avenue East, 3rd Floor


[email protected]



18



TITLE 89: SOCIAL SERVICES

CHAPTER I: DEPARTMENT OF HEALTHCARE AND FAMILY SERVICES

SUBCHAPTER d: MEDICAL PROGRAMS

PART 148

HOSPITAL SERVICES


Section

148.10 Hospital Services

148.20 Participation

148.25 Definitions and Applicability

148.30 General Requirements

148.40 Special Requirements

148.50 Covered Hospital Services

148.60 Services Not Covered as Hospital Services

148.70 Limitation On Hospital Services

SUBPART B: REIMBURSEMENT AND RELATED PROVISIONS

Section

148.80 Organ Transplants Services Covered Under Medicaid (Repealed)

148.82 Organ Transplant Services

148.85 Supplemental Tertiary Care Adjustment Payments (Repealed)

148.90 Medicaid Inpatient Utilization Rate (MIUR) Adjustment Payments (Repealed)

148.95 Medicaid Outpatient Utilization Rate (MOUR) Adjustment Payments (Repealed)

148.100 County Trauma Center Adjustment Payments

148.103 Outpatient Service Adjustment Payments (Repealed)

148.105 Reimbursement Methodologies for Inpatient Rehabilitation Services

148.110 Reimbursement Methodologies for Inpatient Psychiatric Services

148.112 Medicaid High Volume Adjustment Payments

148.115 Reimbursement Methodologies for Long Term Acute Care Services

148.116 Reimbursement Methodologies for Children's Specialty Hospitals

148.117 Outpatient Assistance Adjustment Payments

148.120 Disproportionate Share Hospital (DSH) Adjustments

148.122 Medicaid Percentage Adjustments

148.126 Safety Net Adjustment Payments

148.130 Outlier Adjustments for Exceptionally Costly Stays

148.140 Hospital Outpatient and Clinic Services


18



148.150 Public Law 103-66 Requirements

148.160 Payment Methodology for County-Owned Large Public Hospitals

148.170 Payment Methodology for University-Owned Large Public Hospitals

148.175 Supplemental Disproportionate Share Payment Methodology for Hospitals

Organized Under the Town Hospital Act (Repealed)

148.180 Payment for Pre-operative Days and Patient Specific Orders

148.190 Copayments

148.200 Alternate Reimbursement Systems (Repealed)

148.210 Filing Cost Reports

148.220 Pre September 1, 1991, Admissions (Repealed)

148.230 Admissions Occurring on or after September 1, 1991 (Repealed)

148.240 Utilization Review and Furnishing of Inpatient Hospital Services Directly or

Under Arrangements

148.250 Determination of Alternate Payment Rates to Certain Exempt Hospitals

(Repealed)

148.260 Calculation and Definitions of Inpatient Per Diem Rates (Repealed)

148.270 Determination of Alternate Cost Per Diem Rates For All Hospitals; Payment

Rates for Certain Exempt Hospital Units; and Payment Rates for Certain Other

Hospitals (Repealed)

148.280 Reimbursement Methodologies for Children's Hospitals and Hospitals

Reimbursed Under Special Arrangements (Repealed)

148.285 Excellence in Academic Medicine Payments (Repealed)

148.290 Adjustments and Reductions to Total Payments

148.295 Critical Hospital Adjustment Payments

148.296 Transitional Supplemental Payments

148.297 Physician Development Incentive Payments

148.298 Pediatric Inpatient Adjustment Payments (Repealed)

148.299 Medicaid Facilitation and Utilization Payments

148.300 Payment

148.310 Review Procedure

148.320 Alternatives (Repealed)

148.330 Exemptions

148.340 Subacute Alcoholism and Substance Abuse Treatment Services

148.350 Definitions (Repealed)

148.360 Types of Subacute Alcoholism and Substance Abuse Treatment Services

(Repealed)

148.368 Volume Adjustment (Repealed)

148.370 Payment for Sub-acute Alcoholism and Substance Abuse Treatment Services

148.380 Rate Appeals for Subacute Alcoholism and Substance Abuse Treatment Services


18



(Repealed)

148.390 Hearings

148.400 Special Hospital Reporting Requirements

148.402 Medicaid Eligibility Payments (Repealed)

148.404 Medicaid High Volume Adjustment Payments (Repealed)

148.406 Intensive Care Adjustment Payments (Repealed)

148.408 Trauma Center Adjustment Payments (Repealed)

148.410 Psychiatric Rate Adjustment Payments (Repealed)

148.412 Rehabilitation Adjustment Payments (Repealed)

148.414 Supplemental Tertiary Care Adjustment Payments (Repealed)

148.416 Crossover Percentage Adjustment Payments (Repealed)

148.418 Long Term Acute Care Hospital Adjustment Payments (Repealed)

148.420 Obstetrical Care Adjustment Payments (Repealed)

148.422 Outpatient Access Payments (Repealed)

148.424 Outpatient Utilization Payments (Repealed)

148.426 Outpatient Complexity of Care Adjustment Payments (Repealed)

148.428 Rehabilitation Hospital Adjustment Payments (Repealed)

148.430 Perinatal Outpatient Adjustment Payments (Repealed)

148.432 Supplemental Psychiatric Adjustment Payments (Repealed)

148.434 Outpatient Community Access Adjustment Payments (Repealed)

148.436 Long Term Stay Hospital Per Diem Payments

148.440 High Volume Adjustment Payments

148.442 Inpatient Services Adjustment Payments

148.444 Capital Needs Payments

148.446 Obstetrical Care Payments

148.448 Trauma Care Payments

148.450 Supplemental Tertiary Care Payments

148.452 Crossover Care Payments

148.454 Magnet Hospital Payments

148.456 Ambulatory Procedure Listing Increase Payments

148.458 General Provisions

148.460 Catastrophic Relief Payments (Repealed)

148.462 Hospital Medicaid Stimulus Payments (Repealed)


148.466 Magnet and Perinatal Hospital Adjustment Payments

148.468 Trauma Level II Hospital Adjustment Payments

148.470 Dual Eligible Hospital Adjustment Payments

148.472 Medicaid Volume Hospital Adjustment Payments

148.474 Outpatient Service Adjustment Payments


18



148.476 Ambulatory Service Adjustment Payments

148.478 Specialty Hospital Adjustment Payments

148.480 ER Safety Net Payments

148.482 Physician Supplemental Adjustment Payments

148.484 Freestanding Children's Hospital Adjustment Payments

148.486 Freestanding Children's Hospital Outpatient Adjustment Payments

SUBPART C: SEXUAL ASSAULT EMERGENCY TREATMENT PROGRAM

Section

148.500 Definitions


SUBPART D: STATE CHRONIC RENAL DISEASE PROGRAM

Section

148.600 Definitions

148.610 Scope of the Program

148.620 Assistance Level and Reimbursement

148.630 Criteria and Information Required to Establish Eligibility

148.640 Covered Services

SUBPART E: INSTITUTION FOR MENTAL DISEASES PROVISIONS FOR HOSPITALS

Section


SUBPART F: EMERGENCY PSYCHIATRIC DEMONSTRATION PROGRAM

Section


148.810 Definitions

148.820 Individual Eligibility for the Program

148.830 Providers Participating in the Program

148.840 Stabilization and Discharge Practices

148.850 Medication Management

148.860 Community Connect IMD Hospital Payment

148.870 Community Connect TCM Agency Payment

148.880 Program Reporting


18



148.TABLE A Renal Participation Fee Worksheet

148.TABLE B Bureau of Labor Statistics Equivalence

148.TABLE C List of Metropolitan Counties by SMSA Definition

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: Sections 148.10 thru 148.390 recodified from 89 Ill. Adm. Code 140.94 thru 140.398

at 13 Ill. Reg. 9572; Section 148.120 recodified from 89 Ill. Adm. Code 140.110 at 13 Ill. Reg.

12118; amended at 14 Ill. Reg. 2553, effective February 9, 1990; emergency amendment at 14

Ill. Reg. 11392, effective July 1, 1990, for a maximum of 150 days; amended at 14 Ill. Reg.

15358, effective September 13, 1990; amended at 14 Ill. Reg. 16998, effective October 4, 1990;


effective November 8, 1990; emergency amendment at 15 Ill. Reg. 10502, effective July 1, 1991,

for a maximum of 150 days; emergency expired October 29, 1991; emergency amendment at 15

Ill. Reg. 12005, effective August 9, 1991, for a maximum of 150 days; emergency expired

January 6, 1992; emergency amendment at 15 Ill. Reg. 16166, effective November 1, 1991, for a

maximum of 150 days; amended at 15 Ill. Reg. 18684, effective December 23, 1991; amended at

16 Ill. Reg. 6255, effective March 27, 1992; emergency amendment at 16 Ill. Reg. 11335,

effective June 30, 1992, for a maximum of 150 days; emergency expired November 27, 1992;

emergency amendment at 16 Ill. Reg. 11942, effective July 10, 1992, for a maximum of 150

days; emergency amendment at 16 Ill. Reg. 14778, effective October 1, 1992, for a maximum of

150 days; amended at 16 Ill. Reg. 19873, effective December 7, 1992; amended at 17 Ill. Reg.

131, effective December 21, 1992; amended at 17 Ill. Reg. 3296, effective March 1, 1993;


August 30, 1993; emergency amendment at 17 Ill. Reg. 17323, effective October 1, 1993, for a

maximum of 150 days; amended at 18 Ill. Reg. 3450, effective February 28, 1994; emergency



effective November 29, 1994; amended at 19 Ill. Reg. 1067, effective January 20, 1995;

emergency amendment at 19 Ill. Reg. 3510, effective March 1, 1995, for a maximum of 150

days; emergency expired July 29, 1995; emergency amendment at 19 Ill. Reg. 6709, effective

May 12, 1995, for a maximum of 150 days; amended at 19 Ill. Reg. 10060, effective June 29,

1995; emergency amendment at 19 Ill. Reg. 10752, effective July 1, 1995, for a maximum of 150

days; amended at 19 Ill. Reg. 13009, effective September 5, 1995; amended at 19 Ill. Reg.

16630, effective November 28, 1995; amended at 20 Ill. Reg. 872, effective December 29, 1995;

amended at 20 Ill. Reg. 7912, effective May 31, 1996; emergency amendment at 20 Ill. Reg.

9281, effective July 1, 1996, for a maximum of 150 days; emergency amendment at 20 Ill. Reg.

12510, effective September 1, 1996, for a maximum of 150 days; amended at 20 Ill. Reg. 15722,


18




at 21 Ill. Reg. 8386, effective June 23, 1997; emergency amendment at 21 Ill. Reg. 9552,



effective August 1, 1997, for a maximum of 150 days; amended at 21 Ill. Reg. 13349, effective

September 23, 1997; emergency amendment at 21 Ill. Reg. 13675, effective September 27, 1997,

for a maximum of 150 days; amended at 21 Ill. Reg. 16161, effective November 26, 1997;


effective January 26, 1998; amended at 22 Ill. Reg. 11514, effective June 22, 1998; emergency




effective November 25, 1998; amended at 23 Ill. Reg. 5784, effective April 30, 1999; amended

at 23 Ill. Reg. 7115, effective June 1, 1999; amended at 23 Ill. Reg. 7908, effective June 30,

1999; emergency amendment at 23 Ill. Reg. 8213, effective July 1, 1999, for a maximum of 150


150 days; amended at 23 Ill. Reg. 13621, effective November 1, 1999; amended at 24 Ill. Reg.

2400, effective February 1, 2000; amended at 24 Ill. Reg. 3845, effective February 25, 2000;





effective April 1, 2001; emergency amendment at 25 Ill. Reg. 5432, effective April 1, 2001, for a

maximum of 150 days; amended at 25 Ill. Reg. 6959, effective June 1, 2001; emergency


25 Ill. Reg. 10513, effective August 2, 2001; emergency amendment at 25 Ill. Reg. 12870,

effective October 1, 2001, for a maximum of 150 days; emergency expired February 27, 2002;

amended at 25 Ill. Reg. 16087, effective December 1, 2001; emergency amendment at 26 Ill.

Reg. 536, effective December 31, 2001, for a maximum of 150 days; emergency amendment at

26 Ill. Reg. 680, effective January 1, 2002, for a maximum of 150 days; amended at 26 Ill. Reg.

4825, effective March 15, 2002; emergency amendment at 26 Ill. Reg. 4953, effective March 18,

2002, for a maximum of 150 days; emergency amendment repealed at 26 Ill. Reg. 7786,

effective July 1, 2002; emergency amendment at 26 Ill. Reg. 7340, effective April 30, 2002, for a

maximum of 150 days; amended at 26 Ill. Reg. 8395, effective May 28, 2002; emergency


amendment repealed at 26 Ill. Reg. 16612, effective October 22, 2002; amended at 26 Ill. Reg.

12322, effective July 26, 2002; amended at 26 Ill. Reg. 13661, effective September 3, 2002;




18




January 1, 2003, for a maximum of 150 days; emergency amendment at 27 Ill. Reg. 866,

effective January 1, 2003, for a maximum of 150 days; amended at 27 Ill. Reg. 4386, effective

February 24, 2003; emergency amendment at 27 Ill. Reg. 8320, effective April 28, 2003, for a

maximum of 150 days; emergency amendment repealed at 27 Ill. Reg. 12121, effective July 10,

2003; amended at 27 Ill. Reg. 9178, effective May 28, 2003; emergency amendment at 27 Ill.

Reg. 11041, effective July 1, 2003, for a maximum of 150 days; emergency amendment at 27 Ill.

Reg. 16185, effective October 1, 2003, for a maximum of 150 days; emergency amendment at 27

Ill. Reg. 16268, effective October 1, 2003, for a maximum of 150 days; amended at 27 Ill. Reg.


January 8, 2004, for a maximum of 150 days; emergency amendment at 28 Ill. Reg. 1766,

effective January 10, 2004, for a maximum of 150 days; emergency expired June 7, 2004;

amended at 28 Ill. Reg. 2770, effective February 1, 2004; emergency amendment at 28 Ill. Reg.

5902, effective April 1, 2004, for a maximum of 150 days; amended at 28 Ill. Reg. 7101,

effective May 3, 2004; amended at 28 Ill. Reg. 8072, effective June 1, 2004; emergency

amendment at 28 Ill. Reg. 8167, effective June 1, 2004, for a maximum of 150 days; amended at

28 Ill. Reg. 9661, effective July 1, 2004; emergency amendment at 28 Ill. Reg. 10157, effective

July 1, 2004, for a maximum of 150 days; emergency amendment at 28 Ill. Reg. 12036, effective

August 3, 2004, for a maximum of 150 days; emergency expired December 30, 2004; emergency


emergency expired January 2, 2005; amended at 28 Ill. Reg. 14557, effective October 27, 2004;


effective January 1, 2005; emergency amendment at 29 Ill. Reg. 2026, effective January 21,

2005, for a maximum of 150 days; amended at 29 Ill. Reg. 5514, effective April 1, 2005;

emergency amendment at 29 Ill. Reg. 5756, effective April 8, 2005, for a maximum of 150 days;

emergency amendment repealed by emergency rulemaking at 29 Ill. Reg. 11622, effective July

5, 2005, for the remainder of the 150 days; amended at 29 Ill. Reg. 8363, effective June 1, 2005;




150 days; amended at 29 Ill. Reg. 19973, effective November 23, 2005; amended at 30 Ill. Reg.

383, effective December 28, 2005; emergency amendment at 30 Ill. Reg. 596, effective January


January 9, 2006, for a maximum of 150 days; amended at 30 Ill. Reg. 2827, effective February

24, 2006; emergency amendment at 30 Ill. Reg. 7786, effective April 10, 2006, for a maximum

of 150 days; emergency amendment repealed by emergency rulemaking at 30 Ill. Reg. 12400,

effective July 1, 2006, for the remainder of the 150 days; emergency expired September 6, 2006;


May 26, 2006; emergency amendment at 30 Ill. Reg. 11815, effective July 1, 2006, for a


18



maximum of 150 days; amended at 30 Ill. Reg. 18672, effective November 27, 2006; emergency

amendment at 31 Ill. Reg. 1602, effective January 1, 2007, for a maximum of 150 days;



effective May 30, 2007; amended at 31 Ill. Reg. 8508, effective June 1, 2007; emergency


31 Ill. Reg. 11688, effective August 1, 2007; amended at 31 Ill. Reg. 14792, effective October

22, 2007; amended at 32 Ill. Reg. 312, effective January 1, 2008; emergency amendment at 32

Ill. Reg. 518, effective January 1, 2008, for a maximum of 150 days; emergency amendment at

32 Ill. Reg. 2993, effective February 16, 2008, for a maximum of 150 days; amended at 32 Ill.

Reg. 8718, effective May 29, 2008; amended at 32 Ill. Reg. 9945, effective June 26, 2008;


emergency expired November 27, 2008; amended at 33 Ill. Reg. 501, effective December 30,

2008; peremptory amendment at 33 Ill. Reg. 1538, effective December 30, 2008; emergency

amendment at 33 Ill. Reg. 5821, effective April 1, 2009, for a maximum of 150 days; emergency

expired August 28, 2009; amended at 33 Ill. Reg. 13246, effective September 8, 2009;

emergency amendment at 34 Ill. Reg. 15856, effective October 1, 2010, for a maximum of 150

days; emergency expired February 27, 2011; amended at 34 Ill. Reg. 17737, effective November

8, 2010; amended at 35 Ill. Reg. 420, effective December 27, 2010; expedited correction at 38

Ill. Reg. 12618, effective December 27, 2010; amended at 35 Ill. Reg. 10033, effective June 15,

2011; amended at 35 Ill. Reg. 16572, effective October 1, 2011; emergency amendment at 36 Ill.

Reg. 10326, effective July 1, 2012 through June 30, 2013; emergency amendment to Section

148.70(g) suspended at 36 Ill. Reg. 13737, effective August 15, 2012; suspension withdrawn

from Section 148.70(g) at 36 Ill. Reg. 18989, December 11, 2012; emergency amendment in

response to Joint Committee on Administrative Rules action on Section 148.70(g) at 36 Ill. Reg.

18976, effective December 12, 2012 through June 30, 2013; emergency amendment to Section

148.140(b)(1)(F) suspended at 36 Ill. Reg. 13739, effective August 15, 2012; suspension

withdrawn from Section 148.140(b)(1)(F) at 36 Ill. Reg. 14530, September 11, 2012; emergency

amendment to Sections 148.140(b) and 148.190(a)(2) in response to Joint Committee on

Administrative Rules action at 36 Ill. Reg. 14851, effective September 21, 2012 through June 30,

2013; amended at 37 Ill. Reg. 402, effective December 27, 2012; emergency rulemaking at 37

Ill. Reg. 5082, effective April 1, 2013 through June 30, 2013; amended at 37 Ill. Reg. 10432,

effective June 27, 2013; amended at 37 Ill. Reg. 17631, effective October 23, 2013; amended at

38 Ill. Reg. 4363, effective January 29, 2014; amended at 38 Ill. Reg. 11557, effective May 13,

2014; amended at 38 Ill. Reg. 13263, effective June 11, 2014; amended at 38 Ill. Reg. 15165,

effective July 2, 2014; emergency amendment at 39 Ill. Reg. 10453, effective July 10, 2015, for a

maximum of 150 days; emergency expired December 6, 2015; amended at 39 Ill. Reg. 10824,

effective July 27, 2015; amended at 39 Ill. Reg. 16394, effective December 14, 2015; amended at


18



41 Ill. Reg. 1041, effective January 19, 2017; amended at 42 Ill. Reg. 3152, effective January 31,

2018.

SUBPART B: REIMBURSEMENT AND RELATED PROVISIONS

Section 148.117 Outpatient Assistance Adjustment Payments

Effective for dates of service on or after July 1, 2014, except when specifically designated

otherwise in this Section:

a) Qualifying Criteria. Outpatient Assistance Adjustment Payments, as described in

subsection (b) of this Section, shall be made to Illinois hospitals meeting one of

the criteria identified in this subsection (a):

1) A general acute care hospital that qualifies for Disproportionate Share

Adjustment Payments for rate year 2007, as defined in Section 148.120,

has an emergency care percentage greater than 85%.

2) A general acute care hospital located outside of Cook County that

qualifies for Medicaid Percentage Adjustment Payments for rate year 2007

as defined in Section 148.122, is a trauma center recognized by the Illinois

Department of Public Health (DPH) as of July 1, 2006, has an emergency

care percentage greater than 58%, and has provided more than 1,000

Medicaid Non-emergency/Screening outpatient ambulatory procedure

listing services in the outpatient assistance base year.

3) A hospital that has an MIUR of greater than 50% and an emergency care

percentage greater than 80%, and that provided more than 6,000 Medicaid

outpatient ambulatory procedure listing services in the outpatient

assistance base year.

4) A hospital that has an MIUR of greater than 70% and an emergency care

percentage greater than 90%.

5) A general acute care hospital, not located in Cook County, that is not a

trauma center recognized by DPH as of July 1, 2006 and did not qualify

for Medicaid Percentage Adjustment payments for rate year 2007, as

defined in Section 148.122, has an MIUR of greater than 25% and an

emergency care percentage greater than 50%, and that provided more than


18



8,500 Medicaid outpatient ambulatory procedure listing services in the

outpatient assistance base year.

6) A general acute care hospital, not located in Cook County, that is a Level I

trauma center recognized by DPH as of July 1, 2006, has an emergency

care percentage greater than 50%, and provided more than 16,000

Medicaid outpatient ambulatory procedure listing services, including more

than 1,000 non-emergency screening outpatient ambulatory procedure

listing services, in the outpatient assistance base year.

7) A general acute care hospital, not located in Cook County, that qualified

for Medicaid Percentage Adjustment payments for rate year 2007, as

defined in Section 148.122, has an emergency care percentage greater than

55%, and provided more than 12,000 Medicaid outpatient ambulatory

procedure listing services, including more than 600 surgical group

outpatient ambulatory procedure listing services and 7,000 emergency

services in the outpatient assistance base year.

8) A general acute care hospital that has an emergency care percentage

greater than 75% and provided more than 15,000 Medicaid outpatient

ambulatory procedure listing services in the outpatient assistance base

year.

9) A rural hospital that has an MIUR of greater than 40% and provided more

than 16,000 Medicaid outpatient ambulatory procedure listing services in

the outpatient assistance base year.

10) A general acute care hospital, not located in Cook County, that is a trauma

center recognized by DPH as of July 1, 2006, had more than 500 licensed

beds in calendar year 2005, and provided more than 11,000 Medicaid

outpatient ambulatory procedure listing services, including more than 950

surgical group outpatient ambulatory procedure listing services, in the

outpatient assistance base year.

11) A general acute care hospital is recognized as a Level I trauma center by

DPH on the first day of the OAAP rate period, has Emergency Level I

services greater than 2,000, Emergency Level II services greater than

8,000, and greater than 19,000 Medicaid outpatient ambulatory procedure

listing services in the outpatient assistance base year.


18



b) Outpatient Assistance Adjustment Payments

1) For hospitals qualifying under subsection (a)(1), the rate is $850.00 for

dates of service through February 28, 2014. For dates of service on March

1, 2014 through June 30, 2014, the rate is $1,523.00. For dates of service

on or after July 1, 2014, the rate is $0.00.


dates of service on or after July 1, 2014.










dates of service on or after July 1, 2014 through March 31, 2017. For dates

of service on April 1, 2017 through June 30, 2018, the rate is $610.20. For

dates of service on or after July 1, 2018, the rate is $0.00.










18



c) Payment to a Qualifying Hospital

1) The total annual payments to a qualifying hospital shall be the product of

the hospital's rate multiplied by the Medicaid outpatient ambulatory

procedure listing services in the outpatient assistance adjustment base

year.

2) For the outpatient assistance adjustment period for fiscal year 2010 and

after, total payments will equal the amount determined using the

methodologies described in subsection (c)(1) and shall be paid to the

hospital, at least, on a quarterly basis.

3) Payments described in this Section are subject to federal approval.

d) Definitions

1) "Emergency care percentage" means a fraction, the numerator of which is

the total Group 3 ambulatory procedure listing services as described in

Section 148.140(b)(1)(C), excluding services for individuals eligible for

Medicare, provided by the hospital in State fiscal year 2005 contained in

the Department's data base adjudicated through June 30, 2006, and the

denominator of which is the total ambulatory procedure listing services as

described in Section 148.140(b)(1), excluding services for individuals

eligible for Medicare, provided by the hospital in State fiscal year 2005

contained in the Department's data base adjudicated through June 30,

2006.

2) "General acute care hospital" is a hospital that does not meet the definition

of a hospital contained in Section 148.25(a) and (d).

3) "Outpatient Ambulatory Procedure Listing Payments" means, for a given

hospital, the sum of payments for ambulatory procedure listing services as

described in Section 148.140(b)(1), excluding payments for individuals

eligible for Medicare under Title XVIII of the Act (Medicaid/Medicare

crossover days), as tabulated from the Department's paid claims data for

admissions occurring in the outpatient assistance base period that were

adjudicated by the Department through June 30, 2006.


18



4) "Outpatient assistance year" means, beginning January 1, 2007, the

6-month period beginning on January 1, 2007 and ending June 30, 2007,

and beginning July 1, 2007, the 12-month period beginning July 1 of the

year and ending June 30 of the following year.

5) "Outpatient assistance base period" means the 12-month period beginning

on July 1, 2004 and ending June 30, 2005.

6) "Surgical group outpatient ambulatory procedure listing services" means,

for a given hospital, the sum of ambulatory procedure listing services as

described in Section 148.140(b)(1)(A), excluding services for individuals

eligible for Medicare under Title XVIII of the Act (Medicaid/Medicare

crossover days), as tabulated from the Department's paid claims data for

admissions occurring in the outpatient assistance base period that were

adjudicated by the Department through June 30, 2006.

7) "Non-emergency/screening outpatient ambulatory procedure listing

services" means, for a given hospital, the sum of ambulatory procedure

listing services as described in Section 148.140(b)(1)(C)(iii), excluding

services for individuals eligible for Medicare under Title XVIII of the Act

(Medicaid/Medicare crossover days), as tabulated from the Department's

paid claims data for admissions occurring in the outpatient assistance base

period that were adjudicated by the Department through June 30, 2006.

8) "High tech diagnostic Medicaid outpatient ambulatory procedure listing

services" means, for a given hospital, the sum of ambulatory procedure

listing services described in Section 148.140(b)(1)(B)(ii), excluding

services for individuals eligible for Medicare under Title XVIII of the Act

(Medicaid/Medicare crossover days), as tabulated from the Department's

paid claims data for admissions occurring in the outpatient assistance base

period that were adjudicated by the Department through June 30, 2006.

e) Payment Limitations: In order to be eligible for any new payment or rate increase

under this Section that would otherwise become effective for dates of service on

or after July 1, 2010, a hospital located in a geographic area of the State in which

the Department mandates some or all of the beneficiaries of the Medical

Assistance Program residing in the area to enroll in a Care Coordination program

as defined in 305 ILCS 5/5-30 must be a Coordinated Care Participating Hospital


18



as defined in Section 148.295(g)(5). This payment limitation takes effect six

months after the Department begins mandatory enrollment in the geographic area.

(Source: Amended at 42 Ill. Reg. 3152, effective January 31, 2018)

Section 148.140 Hospital Outpatient and Clinic Services

Effective for dates of service on or after July 1, 2014:

a) Fee-For-Service Reimbursement

1) Reimbursement for hospital outpatient services shall be made on a

fee-for-service basis, except for:

A) Services described in subsection (b)(1).

B) End stage renal disease treatment (ESRDT) services, as described

in subsection (g).

2) Except for the services reimbursed under the EAPG PPS, described in

subsection (b)(1), fee-for-service reimbursement levels shall be at the

lower of the hospital's usual and customary charge to the public or the

Department's statewide maximum reimbursement screens. Hospitals will

be required to bill the Department utilizing specific service codes.

However, all specific client coverage policies (relating to client eligibility

and scope of services available to those clients) that pertain to the service

billed are applicable to hospitals in the same manner as to non-hospital

providers who bill fee for service.

3) Hospitals are required to bill the Department utilizing specific service

codes. All specific client coverage policies (relating to client eligibility

and scope of services available to those clients) that pertain to the service

billed are applicable to hospitals in the same manner as to non-hospital

providers who bill fee-for-service.

4) Payments under Section 148.140(a)(4) shall cease as of June 30, 2014 for

Maternal and Child Health Program Clinics.


18



b) EAPG PPS Reimbursement. Reimbursement under EAPG PPS, described in

subsection (c), shall be all-inclusive for all services provided by the hospital,

without regard to the amount charged by a hospital. Except as provided in

subsection (b)(3), no separate reimbursement will be made for ancillary services

or the services of hospital personnel.

1) Outpatient hospital services reimbursed through the EAPG PPS shall

include:

A) Surgical services.

B) Diagnostic and therapeutic services.

C) Emergency department services.

D) Observation services.

E) Psychiatric treatment services.

2) Excluded from reimbursement under the EAPG PPS are outpatient

hospital services reimbursed pursuant to 59 Ill. Adm. Code 131 and 132,

77 Ill. Adm. Code 2090, and Section 148.330 of this Part.

3) Exceptions to All-inclusive EAPG PPS Rate

A) A hospital may bill separately for:

i) Professional services of a physician who provided direct

patient care.

ii) Chemotherapy services provided in conjunction with

radiation therapy services.

iii) Physical rehabilitation, occupational or speech therapy

services provided in conjunction with an APG PPS

reimbursed service.

B) For the purposes of subsection (b)(3)(A), a physician means:


18



i) A physician salaried by the hospital. Physicians salaried by

the hospital do not include radiologists, pathologists, nurse

practitioners, or certified registered nurse anesthetists; no

separate reimbursement will be allowed for those providers.

ii) A physician who is reimbursed by the hospital through a

contractual arrangement to provide direct patient care.

iii) A group of physicians with a financial contract to provide

emergency department care.

c) EAPG PPS Payment. The reimbursement to hospitals for outpatient services

provided on the same day shall be the product, rounded to the nearest hundredth,

of the following:

1) The EAPG weighting factor of the EAPG to which the service was

assigned by the EAPG grouper.

2) The EAPG conversion factor, based on the sum of:

A) The product, rounded to the nearest hundredth, of:

i) the labor-related share;

ii) the Medicare IPPS wage index; and

iii) the applicable EAPG standardized amount.

B) The product, rounded to the nearest hundredth, of:

i) non-labor share; and

ii) the applicable EAPG standardized amount.

3) The applicable consolidation factor.

4) The applicable packaging factor.

5) The applicable discounting factor.


18



6) The applicable policy adjustment factors, as defined in subsection (f), for

which the service qualifies.

d) EAPG Standardized Amount. The standardized amount established by the

Department as the basis for EAPG conversion factor differs based on the provider

type:

1) County-operated Large Public Hospital EAPG Standardized Amount. For

a large public hospital, as defined in Section 148.25(a)(1), the EAPG

standardized amount is determined in Section 148.160.

2) University-operated Large Public Hospital EAPG Standardized Amount.

For a large public hospital, as defined in Section 148.25(a)(2), the EAPG

standardized amount is determined in Section 148.170.

3) Critical Access Hospital EAPG Standardized Amount. For critical access

hospitals, as defined in Section 148.25(g), the EAPG standardized

amounts are determined separately for each critical access hospital such

that simulated EAPG payments using outpatient base period paid claim

data plus payments as defined in Section 148.456 net of tax costs are equal

to the estimated costs of outpatient base period claims data with a rate year

cost inflation factor applied.

4) Acute EAPG Standardized Amount

A) Qualifying Criteria. General acute hospitals and freestanding

emergency centers as defined in 148.25(e) excluding providers in

subsections (d)(1) through (d)(3), freestanding psychiatric

hospitals, psychiatric distinct part units, freestanding rehabilitation

hospitals, and rehabilitation distinct part units.

B) The acute EAPG standardized amount is based on a single

statewide amount determined such that:

i) Simulated EAPG payments, without SMART Act

reductions or policy adjustments defined in subsection (f),

using general acute hospital outpatient base period paid


18



claims data, result in approximately a $75 million increase

compared to the amount derived in subsection (d)(4)(B)(ii).

ii) The sum of general acute hospital base period paid claims

data reported payments and allocated outpatient static

payments.

5) Psychiatric EAPG Standardized Amount

A) Qualifying Criteria. Freestanding psychiatric hospitals and

psychiatric distinct part units.

B) The psychiatric EAPG standardized amount is based on a single

statewide amount, determined such that:

i) Simulated EAPG payments, without policy adjustments

defined in subsection (f), using freestanding psychiatric

hospitals and psychiatric distinct part units outpatient base

period paid claims data, results in payments approximately

equal to the amount derived in subsection (d)(5)(B)(ii).

ii) The sum of freestanding psychiatric hospitals and

psychiatric distinct part units outpatient base period paid

claims data reported payments and allocated outpatient

static payments.

6) Rehabilitation EAPG Standardized Amount

A) Qualifying Criteria. Freestanding rehabilitation hospitals and

rehabilitation distinct part units.

B) The rehabilitation EAPG standardized amount is based on a single

statewide amount, determined such that:

i) Simulated EAPG payments, without SMART Act

reductions or policy adjustments defined in subsection (f),

using freestanding rehabilitation hospitals and

rehabilitation distinct part units outpatient base period paid


18



claims data, results in payments approximately equal to the

annual derived in subsection (d)(6)(B)(ii).

ii) The sum of freestanding rehabilitation hospitals and

rehabilitation distinct part units outpatient base period paid

claims data reported payments and allocated outpatient

static payments.

7) Ambulatory Surgical Treatment Center (ASTC) EAPG Standardized

Amount. For ASTC's, as defined in 89 Ill. Adm. Code 146.105, the EAPG

standardized amount is determined such that simulated EAPG payments

using outpatient base period paid claims data are equal to reported

payments of outpatient base period paid claims data as contained in the

Department's claims data warehouse.

8) Out-of-state non-cost reporting hospital EAPG standardized amount. For

non-cost reporting hospitals, the EAPG standardized amount is $362.32.

e) Discounting factor. The applicable discounting factor is based on the discounting

flags designated by the EAPG grouper under default EAPG settings:

1) The discounting factor will be 1.0000, if the following criteria are met:

A) The service has not been designated with a Bilateral Procedure

Discounting flag, Multiple Procedure Discounting flag, Repeat

Ancillary Discounting flag or Terminated Procedure Discounting

flag by the EAPG grouper under default EAPG settings; or

B) The service has not been designated with a Bilateral Procedure

Discounting flag and has been designated with a Multiple

Procedure Discounting flag by the EAPG grouper under default

EAPG settings and the service has the highest EAPG weighting

factor among other services with a Multiple Procedure Discounting

flag provided on the same day.

2) The discounting factor will be 0.5000 if the following criteria are met:

A) The service has been designated with a Multiple Procedure

Discounting flag, Repeat Ancillary Discounting flag or Terminated


18



Procedure Discounting flag by the EAPG grouper under default

EAPG settings; and if the Multiple Procedure Discounting flag is

present, the service does not have the highest EAPG weighting

factor among other services with a Multiple Procedure Discounting

flag provided on the same day; and

B) The service has not been designated with a Bilateral Procedure

Discounting flag by the EAPG grouper under default EAPG

settings.


A) The service has been designated with a Bilateral Procedure


settings; and

B) The service has been designated with a Multiple Procedure

Discounting flag, the Repeat Ancillary Discounting flag or

Terminated Procedure Discounting flag by the EAPG grouper

under default EAPG settings; and if the Multiple Procedure

Discounting flag is present, the service does not have the highest

EAPG weighting factor among other services with a Multiple

Procedure Discounting flag provided on the same day.


A) The service has been designated with a Bilateral Procedure


settings; and

B) The service has not been designated with a Multiple Procedure

Discounting flag, the Repeat Ancillary Discounting flag or

Terminated Procedure Discounting flag by the EAPG grouper

under default EAPG settings; or if the Multiple Procedure

Discounting flag is present, the service has the highest EAPG

weighting factor among other services with a Multiple Procedure

Discounting flag provided on the same day.


18



f) Policy Adjustments. Claims for services by providers that meet certain criteria

shall qualify for further adjustments to payment. If a claim qualifies for more

than one policy adjustment, then the EAPG PPS payment will be multiplied by

both factors.

1) Safety Net Hospital Qualifying Criteria

A) The service is described in subsection (b)(1), excluding Medicare

crossover claims.

B) The hospital is a Safety Net hospital, as defined in Section 5-5e.1

of the Illinois Public Aid Code that is not:

i) A critical access hospital, as defined in Section 148.25(g).

ii) A large public hospital, as defined in Section 148.25(a).

C) Policy adjustment factor effective SFY 2015 and 2016 is 1.3218.

2) High Outpatient Volume Hospital Qualifying Criteria

A) The service is described in subsection (b)(1), excluding Medicare

crossover claims.

B) The hospital is a High Outpatient Volume hospital, as defined in

subsection (f)(2)(C) that is not:

i) A critical access hospital, as defined in Section 148.25(g).

ii) A large public hospital, as defined in Section 148.25(a).

iii) A Safety Net hospital, as defined in Section 5-5e.1 of the

Illinois Public Aid Code.

C) A High Outpatient Volume hospital for which the high outpatient

volume is at least:

i) 1.5 standard deviations above the mean regional high

outpatient volume; or


18



ii) 1.5 standard deviations above the mean statewide high

outpatient volume.

D) Policy adjustment factor effective SFY 2015 and 2016 is 1.3218.

3) Crossover Adjustment Factor

A) Acute EAPG standardized amounts, as defined in subsection

(d)(4), shall be reduced by a Crossover Adjustment factor such

that:

i) The absolute value of the total simulated payment reduction

that occurs when applying the Crossover Adjustment

Factor to simulated EAPG payments, including Policy

Adjustments, using general acute hospital outpatient base

period paid claims data, is equal to the amount derived in

subsection (f)(3)(A)(ii):

ii) The difference of total simulated EAPG payments using

general acute hospital outpatient crossover paid claims

data, and general acute hospital outpatient crossover paid

claims data total reported Medicaid net liability.

B) Crossover Adjustment Factor effective SFY 2015 and 2016 is

0.98912.

4) If a claim does not qualify for a Policy Adjustment described in

subsections (f)(1) through (f)(3), the policy adjustment factor is 1.0.

g) Payment for outpatient end-stage renal disease treatment (ESRDT) services

provided pursuant to Section 148.40(b) shall be made at the Department's

payment rates, as follows:

1) For outpatient services or home dialysis treatments provided pursuant to

Section 148.40(c)(2) or (c)(3), the Department will reimburse hospitals

and clinics for ESRDT services at a rate that will reimburse the provider

for the dialysis treatment and all related supplies and equipment, as

defined in 42 CFR 405.2124 and 413.170 (2010). This rate will be the


18



rate established by Medicare pursuant to 42 CFR 405.2124 and 413.170

(2010).

2) Payment for Non-routine Services. For services that are provided during

outpatient or home dialysis treatment pursuant to Section 148.40(c)(2) or

(c)(3), but are not defined as a routine service under 42 CFR 405.2163

(1994), separate payment will be made to independent laboratories,

pharmacies, and medical supply providers pursuant to 89 Ill. Adm. Code

140.430 through 140.434, 140.440 through 140.50, and 140.75 through

140.481, respectively.

3) Payment for physician services relating to ESRDT will be made separately

to physicians, pursuant to 89 Ill. Adm. Code 140.400.

4) Effective with dates of service July 1, 2013 through June 30, 2015,

hospital and freestanding chronic dialysis centers will receive an add-on

payment of $60 per treatment day to the rate described in subsection (g)(1)

for outpatient renal dialysis treatments or home dialysis treatments

provided to MedicaidMedicare recipients under Title XIX of the Social

Security Act, excluding services for individuals eligible for Medicare

under Title XVIIIXVII of that Act (Medicaid/Medicare crossovers) and

excluding services provided under Subpart D: State Chronic Renal

Disease Program, as defined in Sections 148.600 through 148.640.

h) Updates to EAPG PPS Reimbursement. The Department may annually review

the components listed in subsection (c) and make adjustments as needed. Grouper

shall be updated at least triennially and no more frequently than annually.

i) Definitions

"Aggregate ancillary cost-to-charge ratio" means the ratio of each hospital's total

ancillary costs and charges reported in the Medicare cost report, excluding special

purpose cost centers and the ambulance cost center, for the cost reporting period

matching the outpatient base period claims data. Aggregate ancillary cost-to-

charge ratios applied to SFY 2011 outpatient base period claims data will be

based on fiscal year ending 2011 Medicare cost report data.


18



"Consolidation factor" means a factor of 0 percent applicable for services

designated with a Same Procedure Consolidation flag or Clinical Procedure

Consolidation flag by the EAPG grouper under default EAPG settings.

"Default EAPG settings" means the default EAPG grouper options in 3M's Core

Grouping Software for each EAPG grouper version.

"EAPG" means Enhanced Ambulatory Patient Groups, as defined in the EAPG

grouper, which is a patient classification system designed to explain the amount

and type of resources used in an ambulatory visit. Services provided in each

EAPG have similar clinical characteristics and similar resource use and cost.

"EAPG grouper" means the most recently released version of the EAPG software,

distributed by 3M Health Information Systems, available to the Department as of

January 1 of the calendar year during with the discharge occurred; except, for the

calendar year beginning January 1, 2014, EAPG grouper means version 3.7 of the

EAPG software.

"EAPG PPS" means the EAPG prospective payment system as described in this

Section.

"EAPG weighting factor" means, for each EAPG, the product, rounded to the

nearest ten-thousandth, of:

the national weighting factor, as published by 3M Health Information

Systems for the EAPG grouper; and

the Illinois experience adjustment.

"Estimated cost of outpatient base period claims data" means the product of:

outpatient base period paid claims data total covered charges;

the critical access hospital's aggregate ancillary cost-to-charge ratio; and

a rate year cost inflation factor.


18



"High outpatient volume" means the number paid outpatient claims described in

subsection (b)(1) provided during the high volume outpatient base period paid

claims data.

"High volume outpatient base period paid claims data" means SFY 2011

outpatient Medicaid fee-for-service paid claims data, excluding Medicare dual

eligible claims, renal dialysis claims, and therapy claims, for EAPG PPS payment

for services provided in SFY 2015 and 2016. For subsequent dates of service, the

term means the SFY ending 30 months prior to the beginning of the calendar year

during which the service is provided.

"Illinois experience adjustment" means, for the calendar year beginning January

1, 2014, a factor of 1.0; for subsequent calendar years, means the factor applied to

3M EAPG national weighting factors when updating EAPG grouper versions

determined such that the arithmetic mean EAPG weighting factor under the new

EAPG grouper version is equal to the arithmetic mean EAPG weighting factor

under the prior EAPG grouper version using outpatient base period claims data.

"Labor-related share" means that portion of the statewide standardized amount

that is allocated in the EAPG PPS methodology to reimburse the costs associated

with personnel. The labor-related share for a hospital is 0.60.

"Mean regional high outpatient volume" means the quotient, rounded to the

nearest tenth, resulting from the number of paid outpatient services described in

subsections (b)(1)(A) through (D), provided by hospitals within a region, based

on outpatient base period paid claims data.

"Mean statewide high outpatient volume" means the quotient, rounded to the

nearest tenth, resulting from the number of paid outpatient services described in

subsections (b)(1)(A) through (D), provided by hospitals within the state, based

on outpatient base period paid claims data.

"Medicare IPPS wage index" means for in-state providers and out-of-state Illinois

Medicaid cost reporting providers, the wage index used for inpatient

reimbursement as described in 89 Ill. Adm. Code 149.100. For out-of-state

non-cost reporting providers, the wage index used to adjust the EAPG

standardized amount shall be a factor of 1.0.


18



"Non-labor share" means the difference resulting from the labor-related share

being subtracted from 1.0.

"Outpatient base period paid claims data" means SFY 2011 outpatient Medicaid

fee-for-service paid claims data, excluding Medicare dual eligible claims, renal

dialysis claims, and therapy claims, for EAPG PPS payment for services provided

in SFY 2015, 2016 and 2017; for subsequent dates of service, the term means the

most recently available adjudicated 12 months of outpatient paid claims data to be

identified by the Department.

"Outpatient crossover paid claims data" means SFY 2011 outpatient

Medicaid/Medicare dual eligible fee-for-service paid claims data, excluding renal

dialysis claims and therapy claims, for EAPG PPS payment for services provided

in SFY 2015, 2016 and 2017; for subsequent dates of service, the term means

most recently available adjudicated 12-months of outpatient paid claims data to be

identified by the Department.

"Packaging factor" means a factor of 0 percent applicable for services designated

with a Packaging flag by the EAPG grouper under default EAPG settings plus

EAPG 430 (CLASS I CHEMOTHERAPY DRUGS), EAPG 435 (CLASS I

PHARMACOTHERAPY), EAPG 495 (MINOR CHEMOTHERAPY DRUGS),

EAPG 496 (MINOR PHARMACOTHERAPY), and EAPGs 1001-1020

(DURABLE MEDICAL EQUIPMENT LEVEL 1-20), and non-covered revenue

codes defined in the Handbook for Hospital Services.

"Rate year cost inflation factor" means the cost inflation from the midpoint of the

outpatient base period paid claims data to the midpoint of the rate year based on

changes in Centers for Medicare and Medicaid Services (CMMS) input price

index levels. For critical access hospital rates effective SFY 2015, the rate year

cost inflation factor will be based on changes in CMMS input price index levels

from the midpoint of SFY 2011 to SFY 2015.

"Region" means, for a given hospital, the rate region, as defined in 89 Ill. Adm.

Code 140.Table J, within which the hospital is located.

"Total covered charges" means the amount entered for revenue code 001 in

column 53 (Total Charges) on the Uniform Billing Form (form CMMS 1450), or

one of its electronic transaction equivalents.


18




Section 148.299 Medicaid Facilitation and Utilization Payments

Medicaid Facilitation and Utilization Payments shall be made on a monthly basis as follows:

a) Qualifying Hospitals. Hospitals may qualify for the Medicaid Facilitation and

Utilization Payments if they meet any of the following criteria:

1) The hospital must be an Illinois general acute care hospital that had an

increase over 35% of the total Medicaid days, excluding Medicare

crossover days, from State fiscal year 2009 to State fiscal year 2013 as

recorded in the Department's paid claims data, had more than 50 routine

beds as included in the 2012 cost report filed with the Department, and,

for State fiscal year 2013, the average length of stay was less than 4.5

days.

2) The hospital must be an Illinois general acute care hospital that had a

Medicaid Inpatient Utilization Rate (MIUR), as defined in Section

148.120(i)(4), between 50 and 80 percent, is designated a Perinatal Level

II facility, and had less than 110 routine beds as included in the 2012 Cost

Report on file with the Department, and, for State fiscal year 2013,

provided greater than 6,000 Medicaid days, excluding Medicare crossover

days, as recorded in the Department's paid claims database.

3) The hospital must be an Illinois children's hospital, as defined in Section

148.25(d)(3)(B), had greater than 10 routine beds as included in the 2012

cost report on file with the Department, and for State fiscal year 2013, the

average length of stay was less than 4.5 days.

b) Rates

1) Hospitals qualifying under subsection (a)(1) will receive the following:

A) If the hospital provided more than 4,000 covered Medicaid days,

excluding Medicare crossover days in State fiscal year 2013, as

recoded in the Department's paid claims database, the rate is

$947.00 for dates of service on July 1, 2014 through June 30, 2015.

For dates of service on or after July 1, 2015 through March 31,


18



2017, the rate is $0.00. For dates of service on or after April 1,

2017 through June 30, 2018, the rate is $738.00. For dates of

service on or after July 1, 2018, the rate is $0.00.

B) If the hospital provided less than 4,000 covered Medicaid days,

excluding Medicare crossover days, in State fiscal year 2013, as

recoded in the Department's paid claims database, the rate is

$76.00 for dates of service on July 1, 2014 through June 30, 2015.

For dates of service on or after July 1, 2015, the rate is $0.00.

2) Hospitals qualifying under subsection (a)(2) will receive the following:

A) If the hospital had greater than 100 routine beds, as included in the

2012 cost report on file with the Department, the rate is $205.00

for dates of service on July 1, 2014 through June 30, 2015. For

dates of service on or after July 1, 2015, the rate is $0.00.

B) If the hospital had less than 100 routine beds, as included in the

2012 cost report on file with the Department, the rate is $59.00 for

dates of service on July 1, 2014 through June 30, 2015. For dates

of service on or after July 1, 2015, the rate is $0.00.

3) Hospitals qualifying under subsection (a)(3) will receive a rate of $390.00

for dates of service on July 1, 2014 through June 30, 2015. For dates of

service on or after July 1, 2015, the rate is $0.00.

c) Payment for a qualifying hospital shall be the product of the rate as defined in

subsection (b), multiplied by the hospital's SFY 2013 covered days less Medicare

crossover days as recorded in the Department's paid claims data (adjudicated

through February 21, 2014).



18



1) Heading of the Part: Charter Schools



650.200 New Section

650.210 New Section

650.220 New Section

650.230 New Section

650.240 New Section

650.250 New Section

650.260 New Section

4) Statutory Authority: 105 ILCS 5/27A-11.5(3)

5) Effective Date of Rules: January 31, 2018



8) A statement that a copy of the adopted rules, including any material incorporated by

reference, is on file in the Agency's principal office and is available for public inspection.

9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 11010; September 1,

2017


11) Differences between Proposal and Final Version: Section 650.210: Clarified funds can

be used only during the initial contract term of the charter school.

Section 650.220: Removed limitation on per pupil amount for eligible grade levels.

Added loans for new charter schools will be calculated using the projected enrollment

during the initial charter term.

Section 650.230: Clarified charter schools must include assurances that the loan proceeds

will be used for the items specified in Section 27-11.5(3) of the School Code [105 ILCS

5] or for building wide facility needs.


18



Section 650.250: Clarified charter schools may make payments on the loan early but the

loan must be paid in full by December 15 of the final year of the initial contract term.

All technical changes requested by JCAR have been made.


agreements issued by JCAR? Yes


14) Are there any rulemakings pending on this Part? No

15) Summary and Purpose of Rulemaking: The Charter School Revolving Loan Fund (105

ILCS 5/27A - 11.5) provides non-competitive, interest-free loans for certified charter

schools in their initial contract term. Loans are limited to one per charter school and

cannot exceed $750 per student enrolled in the charter school. Loan repayments from the

awarded charter schools are deposited back into this fund for future use by other initial

charter schools. The Charter School Revolving Loan Fund is not a new provision in the

School Code; however, administrative rules have not been promulgated to oversee its

implementation. Rulemaking will ensure the correct procedures for the following:

accepting applications, ensuring charter schools are paid on time, charter schools are held

accountable if they cannot pay the loan back in full, and that the overall fund is managed

in accordance with the law.

These funds are to be used to pay for start-up costs of acquiring educational materials and

supplies, textbooks, electronic textbooks, furniture, technological equipment, and other

materials required to make the school building a suitable learning environment. A charter

school may apply for a loan from the Revolving Loan Fund after its initial charter

application is approved by its school district or the State Charter School Commission and

is certified by ISBE.

This rulemaking calculates the maximum loan amount on a per-pupil basis, based upon

the expected total enrollment for new charter schools or for certified charter schools

already in their initial contract term the enrollment on March 1 of the current school year.

Each application must include the following:

• A list of all applicable expenditure areas;


18



• The amount of the loan requested;

• A description of the proposed uses for the funds; and

• Assurances and certifications that include;

• Funds will be used only for the items specified in Section 27-11.3 of the

School Code or for building-wide facility needs;

• The charter school governing board has approved a resolution authorizing

the application for funds; and

• The charter school will comply with the Section of the School Code

creating the Charter School Revolving Loan Fund, these rules, and the

loan agreement.

All applications must be signed by the charter school's chief administrative officer and

the president of the governing board. Applications must be postmarked no later than 30

calendar days after the governing board's approval. Incomplete applications will be

returned as ineligible; an applicant can reapply during that funding cycle, provided the

application is cured of the deficiencies.

Applications are due no later than March 15 in the previous fiscal year for which the loan

will be made. Applications received after March 15 will not be processed unless there are

remaining funds.

Funds will be distributed on a first-come, first-served basis on the receipt of application.

SBE will notify the charter schools of the total approved loan amount no later than 15

days after the award determination date. Charter schools that were eligible but did not

receive a loan due to insufficient funds are eligible to reapply.

All loans are interest free and must be paid back by the end of the initial charter contract.

ISBE may deduct the amounts from other funds due to the charter school to repay the

loan or require the charter school authorizer to deduct the amount from funds due to the

charter school and remit to ISBE. Additionally, payments on the loan must be made by

December 15 of each year. A charter school can prepay the balance on the loan at any

time by contacting ISBE.

All loans must meet the following terms and conditions:

• Loans must be repaid by the end of the initial charter term;


18



• Loan proceeds must be accounted for using generally accepted standards

of governmental accounting principles;

• Charter schools must send a report to ISBE detailing how the funds were

used no later than nine months after the receipt of the loan;

• Loans must be repaid in accordance with the administrative rules in the

event of a default;

The contents of the application as well as the terms of conditions of the loan will be

memorialized in a promissory note.

In addition, during the public comment period, ISBE staff reviewed the rulemaking and

made technical changes for consistency throughout out the Part and for clarity.


Lindsay M. Bentivegna

Agency Rules Coordinator

Illinois State Board of Education

100 North First Street, S-493


217/782-5270

[email protected]

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


18



TITLE 23: EDUCATION AND CULTURAL RESOURCES

SUBTITLE A: EDUCATION

CHAPTER I: STATE BOARD OF EDUCATION

PART 650

CHARTER SCHOOLS


Section

650.10 Definitions

650.20 Purpose

SUBPART B: ACTIONS OF THE STATE BOARD OF EDUCATION

Section

650.30 Submission to the State Board of Education: Local Boards of Education

650.35 Submission to the State Board of Education: Commission

650.40 Review by the State Superintendent of Education of Local or Commission

Approvals

650.50 Revision of Certified Charters

650.55 Biennial Reporting Requirements

650.60 Appeal of Local School Board Decisions (Repealed)

650.65 Monitoring of Charter Authorizers by the State Board of Education; Corrective

Action

650.70 Procedures for Closing a Charter School

SUBPART C: ACTIONS OF THE STATE CHARTER SCHOOL COMMISSION

Section

650.100 Appeals to, and Requests for Consideration by, the Commission

650.110 Review of Appeals and Requests for Consideration; Decision

SUBPART D: CHARTER SCHOOL REVOLVING LOAN PROGRAM

Section

650.200 Purpose

650.210 Use of Funds

650.220 Maximum Amount of Loan

650.230 Application Procedures


18



650.240 Review of Application and Notification of Loan Award

650.250 Repayment Procedures

650.260 Terms and Conditions of Loan Agreement

650.APPENDIX A Principles and Standards for Authorizing Charter Schools

AUTHORITY: Implementing and authorized by Article 27A of the School Code [105 ILCS

5/Art. 27A].

SOURCE: Emergency rules adopted at 20 Ill. Reg. 6329, effective April 23, 1996, for a

maximum of 150 days; emergency expired; emergency amendment at 20 Ill. Reg. 8677, effective

June 25, 1996, for a maximum of 150 days; new Part adopted at 20 Ill. Reg. 15284, effective

November 15, 1996; emergency amendments at 22 Ill. Reg. 1479, effective January 1, 1998, for

a maximum of 150 days; emergency expired; emergency amendment at 22 Ill. Reg. 5104,

effective February 27, 1998, for a maximum of 150 days; emergency expired; amended at 22 Ill.

Reg. 16455, effective September 3, 1998; amended at 36 Ill. Reg. 14801, effective September

20, 2012; amended at 38 Ill. Reg. 21916, effective November 3, 2014; amended at 39 Ill. Reg.

8298, effective May 26, 2015; amended at 41 Ill. Reg. 136, effective December 27, 2016;

amended at 42 Ill. Reg. 3182, effective January 31, 2018.

SUBPART D: CHARTER SCHOOL REVOLVING LOAN PROGRAM

Section 650.200 Purpose

This Subpart D establishes the procedures and criteria for applications submitted by eligible

applicants pursuant to the Charter School Revolving Loan Program established by Section 27A-

11.5(3) of the School Code [105 ILCS 5].

a) For the purpose of the Charter School Revolving Loan Program, eligible

applicants are only charter schools defined in Section 27A-5 of the School Code.

b) A charter school is eligible to apply for a loan when it has been certified by the

State Board of Education and at any time during its initial contract term of 5

years.

(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018)

Section 650.210 Use of Funds


18



Funding is available under the Charter School Revolving Loan Fund for start-up costs to acquire

educational materials and supplies. These items include, but are not limited to: textbooks,

electronic textbooks and the technological equipment necessary to gain access to and use

electronic textbooks; furniture and other equipment or materials needed in the initial contract

term of the charter school; and acquiring and remodeling a suitable physical plant. [105 ILCS

5/27A-11.5(3)]


Section 650.220 Maximum Amount of Loan

The maximum loan amount shall be calculated on a per-pupil basis, based upon the total

enrollment. An applicant may request a loan amount that does not exceed $750 per pupil. For

approved charter schools already in their initial contract term, the maximum loan amount shall

be calculated using the enrollment as reported to the State Board of Education as of March 1 of

the current school year. Loan amounts for new charter schools will be calculated using the

projected enrollment during the first year of the initial contract term.


Section 650.230 Application Procedures

a) The State Board of Education shall distribute application forms to all eligible

applicants by the first business day of January for the following fiscal year.

Applications will be due to the State Board no later than March 15 of the fiscal

year preceding the fiscal year in which loans will be made.

b) Each application for a loan shall include the following information:

1) A list of all applicable expenditure categories, as described in Section

650.210(a), for which loan proceeds will be used;

2) The amount of the loan requested, which shall not exceed the amount

calculated pursuant to Section 650.220;

3) A description of the proposed uses of the loan funds, as specified in the

resolution adopted by the applicant's governing board authorizing

submission of the loan application;


18



4) Assurances and certifications as the State Board may require, to include at

least the following:

A) the loan proceeds shall be used for the items specified in Section

27-11.5(3) of the School Code or for building-wide facility needs

specified on the application;

B) the governing board approved a resolution authorizing submission

of the loan application, specifying the date of that approval; and

C) the participant shall comply with Section 27A-11.5(3) of the

School Code, this Subpart and the loan agreement (see Section

650.260).

c) Each loan application shall bear original signatures of the chief administrative

officer and of the president of the governing board and shall be sent to the State

Board as specified in the application. Applications must be postmarked no later

than 30 calendar days after the governing board's approval. Applications

postmarked later than 30 days after governing board's approval will be returned to

the applicant as ineligible for consideration. An applicant whose request has been

returned as ineligible may reapply during the funding cycle, provided it has met

all of the requirements of subsection (b) of this Section and Section 650.240.

d) Applications received after March 15 of the fiscal year preceding the fiscal year in

which a loan is requested shall not be processed unless there are remaining funds.

Any remaining funds will be distributed pursuant to Section 650.240(b).

e) Applicants are limited to one loan per charter school. For charter schools with

multiple campuses, one loan per charter school campus will be permitted.


Section 650.240 Review of Application and Notification of Loan Award

a) Applications shall be reviewed for completeness. If an application is incomplete,

State Board of Education staff shall request the missing information from the

applicant no later than 5 calendar days after receipt of the application.

Applications will not be processed until all requested information is received.

Applicants will have 5 calendar days to provide missing information to the State


18



Board of Education staff. Resubmitted applications shall receive the new

submission date and time. This new submission date and time will reposition the

application on the first-come, first-served list of applicants and may result in the

application not being funded if appropriations are insufficient.

b) All complete applications that demonstrate compliance with Section 27A-11.5(3)

of the School Code and this Subpart shall be eligible for funding. Eligible

applications received on or before March 15 of each fiscal year shall receive a

loan on a first-come, first-served basis, as long as funds appropriated for a given

fiscal year remain available.

c) Notification of a loan award shall be made no later than 15 calendar days after the

application due date established in subsection (b).

d) Charter schools otherwise eligible but not receiving loans due to insufficiency of

the appropriation shall receive first consideration in the next fiscal year using the

enrollment specified on the application for funding. Applicants may request to

withdraw their initial application in order to submit a new application during the

next application period to reflect increased enrollment. The new application will

be subject to the normal review process with all other applications received,

without any special priority.


Section 650.250 Repayment Procedures

Loans shall be repaid by the end of the initial contract term of the charter school. (See Section

27A-11.5 of the School Code.)

a) No interest will be charged on these loans. The State Board of Education may

deduct amounts necessary to repay the loan from funds due to the charter school

or may require that the local school board that authorized the charter school

deduct those amounts from funds due to the charter school and remit these

amounts to the State Board, provided that the local school board shall not be

responsible for repayment of the loan.

b) Repayment


18



1) The loan must be paid in full by December 15 of the final year of the

initial contract term.

2) Checks shall be made payable to "ISBE – Charter School Revolving Loan

Fund" and mailed to the Fiscal and Procurement Division, Illinois State

Board of Education, 100 North First Street, W-380, Springfield, Illinois

62777-0001.

3) A recipient may prepay the loan amount in its entirety at any time before

December 15 of the final year of the initial contract term, provided that the

recipient first contacts the State Superintendent's designee to obtain

information on how to remit the payment and the total amount to be paid.

(Source: Added at 42 Ill. Reg. 3182, effective January 31, 2018) Section 650.260 Terms and Conditions of Loan Agreement

a) Loan proceeds under this program shall be used exclusively for the purposes

listed in Section 650.210 and shall be expended in accordance with the approved

application and the recipient's policies and procedures related to those

expenditures. In the event the loan proceeds are not expended in the manner

approved, the recipient, upon written notification from the State Board of

Education, shall be required to submit, by the next payment due date, payment of

the outstanding loan.

b) Loan proceeds shall be obligated no later than six months following receipt of the

loan.

c) Use of the loan proceeds shall be accounted for in accordance with generally

accepted standards of governmental accounting principles.

d) Recipients shall submit a report to the State Board of Education detailing how the

loan proceeds were used no later than nine months after the receipt of the loan.

f) In the event of default that is not cured within 90 calendar days, the State

Superintendent or his or her designee shall take the action specified either in

subsection (f)(1) or (f)(2). The recipient shall be ineligible for additional loans

until good standing has been restored.


18



1) In the event of default that is not cured within 90 calendar days, the State

Superintendent or his or her designee shall notify the recipient in writing

by certified mail, return receipt requested, that payment of the outstanding

loans on the date of the notification is due immediately. The recipient

shall have 30 days from the date the notification is received to submit its

payment.

2) The State Board may deduct amounts necessary to repay the loan from

funds due to the recipient or may require that the local school board that

authorized the charter school deduct those amounts from funds due to the

recipient and remit these amounts to the State Board, provided that the

local school board shall not be responsible for repayment of the loan.

g) The contents of the approved application and terms and conditions of the loan

shall be incorporated into a promissory note. Should the indebtedness represented

by the promissory note or any part of that note be collected at law or in equity or

in bankruptcy, receivership or other court proceedings or, if the promissory note is

placed in the hands of attorneys for collection after default, the participant agrees

to pay reasonable attorneys' fees and costs of collection.



18

AUDITOR GENERAL


1) Heading of the Part: Purchases and Contracts



500.40 Amendment

500.60 Amendment

500.320 Amendment

500.330 Amendment

500.350 Amendment

500.400 Amendment

500.430 Amendment

500.600 Amendment

500.910 Amendment

500.1120 Amendment

500.1130 Amendment

500.1160 Amendment

500.1190 Amendment

500.1260 Amendment

500.1270 Amendment

500.1275 Amendment

500.1285 Amendment

4) Statutory Authority: Implementing and authorized by Section 1-30(b) of the Illinois

Procurement Code [30 ILCS 500/1-30(b)] and Section 2-12 of the Illinois State Auditing

Act [30 ILCS 5/2-12].

5) Effective Date of Rules: February 16, 2018



8) The adopted rules, including any material incorported by reference, are on file at the

Auditor Generals Springfield Office and are available for public inspection.

9) Notice of Proposal published in the Illinois Register: 41 Ill. Reg. 13137; October 27,

2017


18

AUDITOR GENERAL



11) Differences between Proposal and Final Version: Non-substantive technical changes

were made at the request of JCAR.


agreements issued by JCAR? Yes, see answer to question 11.


14) Are there any rulemakings pending on this Part? No

15) Summary and Purpose of Rulemaking: The Auditor General's purchasing rules were last

updated effective March 1, 2015 and need to be updated to reflect recent changes in laws,

including PA 100-43 (effective August 9, 2017), PA 100-203 (effective August 18,

2017), and PA 100-391 (effective August 25, 2017). Changes include updating

terminology, responsibility, emergency purchase, communications reporting, and

continuing disclosure requirements and increasing the small purchase threshold.


Rebecca Patton

Office of the Auditor General

740 E. Ash St.


217/782-6046

888/261-2887 (TTY)



18

AUDITOR GENERAL


TITLE 44: GOVERNMENT CONTRACTS, GRANTMAKING,

PROCUREMENT AND PROPERTY MANAGEMENT

SUBTITLE B: SUPPLEMENTAL PROCUREMENT RULES

CHAPTER I: AUDITOR GENERAL

PART 500

PURCHASES AND CONTRACTS

SUBPART A: GENERAL

Section

500.10 Title

500.20 Policy

500.30 Application

500.40 Definition of Terms Used in This Part

500.50 Property Rights

500.60 Department of Central Management Services

500.70 Capital Development Board

SUBPART B: PROCUREMENT AUTHORITY

Section

500.100 Conduct of Procurements

500.110 Small Business Specialist

SUBPART C: PUBLICIZING PROCUREMENT ACTIONS

Section

500.200 Auditor General Volume of Illinois Procurement Bulletin

500.210 Publication of Auditor General Bulletin

500.220 Required Use of Auditor General Bulletin

500.230 Supplemental Notice

500.240 Error in Notice

500.250 Direct Solicitation

500.260 Retention of Bulletin Information

SUBPART D: SOURCE SELECTION AND CONTRACT FORMATION

Section


18

AUDITOR GENERAL



500.310 Competitive Sealed Bidding

500.315 Multi-Step Sealed Bidding

500.320 Competitive Sealed Proposals

500.330 Small Purchases

500.340 Sole Economically Feasible Source Procurement

500.350 Emergency Procurements

500.360 Other Methods of Source Selection

500.370 Tie Bids and Proposals

500.380 Modification, Correction or Withdrawal of Offers

500.390 Cancellation of Solicitations; Rejection of Offers

500.395 Public Procurement File

SUBPART E: SUPPLIERS, PREQUALIFICATION AND RESPONSIBILITY

Section

500.400 Suppliers

500.410 Vendor List/Required Use

500.420 Prequalification

500.430 Responsibility

SUBPART F: BID, PROPOSAL AND PERFORMANCE SECURITY

Section

500.500 Security Requirements

SUBPART G: SPECIFICATIONS

Section

500.600 Specifications

SUBPART H: CONTRACT TYPE

Section

500.700 Types of Contracts

SUBPART I: DURATION OF CONTRACTS

Section


18

AUDITOR GENERAL


500.800 Duration of Contracts

SUBPART J: CONTRACT MATTERS

Section

500.900 Prevailing Wage

500.910 Filing with Comptroller

500.920 Equal Employment Opportunity; Affirmative Action

SUBPART K: REAL PROPERTY LEASES AND CAPITAL IMPROVEMENT LEASES

Section

500.1000 Applicability

500.1010 Method of Source Selection

500.1015 Historic Area Preference

500.1020 Request for Information

500.1030 Lease Requirements

500.1040 Purchase Option

500.1050 Rent Without Occupancy

500.1060 Local Site Preferences

SUBPART L: PREFERENCES

Section

500.1110 Resident Vendor Preference

500.1120 Soybean Oil-based Ink and Vegetable Oil-based Ink

500.1130 Recycled Supplies

500.1140 Recyclable Supplies

500.1145 Environmentally Preferable Procurement

500.1148 Biobased Products

500.1150 Correctional Industries

500.1160 Qualified Not-for-Profit Agencies for Persons with SignificantSevere Disabilities

500.1170 Gas Mileage

500.1180 Small Business

500.1190 Contracting with Businesses Owned and Controlled by Minorities,

WomenFemales and Persons with Disabilities

500.1195 Illinois Agricultural Products

500.1197 Corn-based Plastics

500.1199 Disabled Veterans


18

AUDITOR GENERAL


SUBPART M: ETHICS

Section

500.1200 Bribery

500.1210 Felons

500.1215 Prohibited Bidders and Contractors

500.1217 Debt Delinquency

500.1218 Collection and Remittance of Illinois Use Tax

500.1220 Conflicts of Interest

500.1230 Negotiations for Future Employment

500.1235 Environmental Protection Act Violations

500.1238 Lead Poisoning Prevention Act Violations

500.1240 Revolving Door Prohibition

500.1250 Disclosure of Financial Interests and Potential Conflicts of Interest

500.1260 Reporting Anticompetitive Practices

500.1265 Disclosure of Business in Iran

500.1267 Lobbying Restrictions

500.1270 Confidentiality

500.1275 Procurement Communications Reporting Requirement

500.1280 Insider Information

500.1285 Continuing Disclosure; False Certification

500.1290 Other Violations

SUBPART N: PROTESTS AND REMEDIES

Section

500.1300 Suspension and Debarment

500.1310 Resolution of Contract Controversies (Repealed)

500.1320 Violation of Law or Rule

500.1330 Protests

500.1340 Hearing Procedures

SUBPART O: GOVERNMENTAL JOINT PURCHASING

Section

500.1400 General

500.1410 No Agency Relationship


18

AUDITOR GENERAL


SUBPART P: MISCELLANEOUS PROVISIONS OF GENERAL APPLICABILITY

Section

500.1500 Severability

500.1510 Finality of Determinations

500.1520 Government Furnished Property

500.1530 Inspections

500.1540 Records and Audits

500.1545 Taxes, Licenses, Assessments and Royalties

500.1550 No Waiver of Sovereign Immunity

AUTHORITY: Implementing and authorized by Section 1-30(b) of the Illinois Procurement

Code [30 ILCS 500/1-30(b)] and Section 2-12 of the Illinois State Auditing Act [30 ILCS 5/2-

12].

SOURCE: Old Part repealed and new Part adopted at 24 Ill. Reg. 1836, effective February 7,

2000; amended at 35 Ill. Reg. 5307, effective April 1, 2011; amended at 37 Ill. Reg. 3741,

effective April 1, 2013; amended at 39 Ill. Reg. 3561, effective March 1, 2015; recodified Title

of the Part at 39 Ill. Reg. 5903; amended at 42 Ill. Reg. 3193, effective February 16, 2018.

SUBPART A: GENERAL

Section 500.40 Definition of Terms Used in This Part

As used throughout this Part, each term listed in this Section shall have the meaning set forth

below unless its use clearly requires a different meaning. Terms may be defined in particular

Sections for use in that Section.

"Amendment" − A written modification to a contract provision, as permitted by

the original contract.

"Award" − The determination that a particular vendor has been selected from

among other potential vendors to enter into negotiations for the purpose of

finalizing a contract.

"Bid" − The response to an Invitation for Bids.

"Bidder" − The person or entity submitting a bid.


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"Brand Name or Equal Specification" − A specification that uses one or more

manufacturer's names or catalog numbers to describe the standard of quality,

performance, and other characteristics needed to meet OAG requirements, and

that allows the submission of equivalent products.

"Brand Name Specification" − A specification limited to one or more items by

manufacturers' names or catalog numbers.

"CMS" − The Department of Central Management Services.

"Code" − The Illinois Procurement Code [30 ILCS 500].

"Consulting Services" − Services provided by a business or person as an

independent contractor to advise and assist the OAG in solving specific

management or programmatic problems involving the organization, planning,

direction, control or operations of a State agency. The services may or may not

rise to the level of professional and artistic as defined in this Part.

"Contract" − All types of State agreements, regardless of what they may be called,

for the procurement, use, or disposal of supplies, services, professional or artistic

services, or construction or for leases of real property where the State is the

lessee, or capital improvements, and including renewals, master contracts,

contracts for financing through use of installment or lease-purchase

arrangements, renegotiated contracts, amendments to contracts, and change

orders. [30 ILCS 500/1-15.30] The term contract as used in this Part does not

include supplies or services the terms governing which are established by tariff of

the Illinois Commerce Commission or the Federal Communications Commission

and for which there is no authorized competition.

"Contractor" or "Vendor" − The terms contractor and vendor are used

interchangeably for purposes of this Part. When appropriate, the term "vendor"

shall also include subcontractors.

"Day" − Calendar day. In computing any period of time, the day of the event

from which the designated period of time begins to run shall not be included, but

the last day of the period shall be included unless it is a Saturday, Sunday, or a

State holiday, in which event the period shall run to the end of the next business

day.


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"Invitation for Bids" or "IFB" − The process by which the OAG requests

information from bidders, including all documents, whether attached or

incorporated by reference, used for soliciting bids.

"Items" − Anything that may be procured under this Part.

"OAG" − The Office of the Auditor General.

"Offer" − A bid, proposal or response solicited by the OAG.

"Offeror" − The person or entity submitting a bid, proposal or response solicited

by the OAG. A person or entity (other than an individual acting as a sole

proprietor) may qualify as a bidder or offeror only if the person or entity is a legal

entity authorized to do business in Illinois prior to submitting the bid, offer or

proposal.

"Procurement Officer" − One or more OAG employees who serve at the direction

of the Chief Procurement Officer of the OAG (CPO) and are responsible for

conducting OAG procurement activity.

"Proposal" − The response to a Request for Proposals.

"Proposer" − The person or entity submitting a proposal.

"Qualified Products List" − An approved list of supplies described by model or

catalog numbers that, prior to competitive solicitation, the OAG has determined

will meet the applicable specification requirements.

"Request for Information" or "RFI" − The process by which the OAG requests

information from offerors for OAG contracts for leases of real property or capital

improvements.

"Request for Proposals" or "RFP" − The process by which the OAG requests

information from offerors, including all documents, whether attached or

incorporated by reference, used for soliciting proposals.

"Respondent" − The person or entity submitting a response to a Request for

Information from the OAG.


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"Response" − A response to a Request for Information.

"Responsible Offeror" − A person or entity that is capable in all respects of

performing fully the contract requirements and has the integrity and reliability

that will assure good faith performance. A responsible bidder or offeror shall not

include a business or other entity that does not exist as a legal entity at the time a

bid, proposal or offer is submitted for a State contract.

"Responsive Offeror" − A person or entity that has submitted an offer conforming

in all material respects to the solicitation.

"Service" − The furnishing of labor, time, or effort by a contractor, not involving

the delivery of a specific end product other than reports or supplies that are

incidental to the required performance and the financing thereof.

"Solicitation" − An Invitation for Bids, Request for Proposals or Request for

Information.

"Specification for a Common or General Use Item" − A specification that has

been developed and approved for repeated use in procurements.

"Specifications" − Any description, provision, or requirement pertaining to the

physical or functional characteristics or of the nature of a supply, service, or

other item to be procured under a contract. Specifications may include a

description of any requirement for inspecting, testing, or preparing a supply,

service, professional or artistic service, construction, or other item for delivery.

[30 ILCS 500/1-15.95]

"Subcontract" – A contract with a total value of more than $50,000 between a

person or entity and another person or entity who has a State contract, pursuant to

which the subcontractor provides to the contractor, or, if the subcontract price is

more than $50,000, another subcontractor some or all of the suppliesgoods,

services, real property, remuneration or other monetary forms of consideration

that are the subject of the primary contract and includes, among other things,

subleases from a lessee of a State agency. For purposes of this Part, a

"subcontract" does not include purchases of goods or supplies that are incidental

to the performance of a contract by a person who has a contract subject to this

Part.


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"Subcontractor" – A person or entity that enters into a contractual agreement with

a total value of more than $50,000 with a person or entity who has a contract with

the OAG pursuant to which the person or entity provides some or all of the

suppliesgoods, services, real property, remuneration or other monetary forms of

consideration that are the subject of the primary OAG contract, including

subleases from a lessee of a State contract. For purposes of this Part, a person or

entity is not a "subcontractor" if that person only provides goods or supplies that

are incidental to the performance of a contract by a person who has a contract

subject to this Part.

"Supplier" – Any person or entity providing supplies, including, but not limited

to, equipment, materials, printing, and insurance, and the financing of those

supplies that can be procured regularly or are available on the commercial market.

"Supplies" − All personal property, including but not limited to equipment,

materials, printing, and insurance, and the financing of those supplies that can be

procured regularly or are available on the commercial market.


Section 500.60 Department of Central Management Services

a) To the extent practicable and available, the OAG may obtain the following

suppliesgoods and services from or through CMS or another State agency with

appropriate procurement authority without soliciting independent bids, proposals

or responses:

1) employee benefits authorized under the State Employees Group Insurance

Act or other law;

2) financing of any procurement;

3) paper, stationery and envelopes, and any other suppliesgoods or services

available from the Paper and Printing Warehouse;

4) postage stamps;

5) property, casualty, liability and other insurance and bonds;


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6) telecommunications equipment, services and software;

7) utilities;

8) vehicles and vehicle services, including fleet management and repairs;

9) electronic data processing services, including Central Computing Facility

services;

10) leases of real estate and any capital improvements to leased real estate for

OAG use; and

11) any other supplies and services, including those available through master,

scheduled or open-ended contracts established by CMS or another State

agency with appropriate procurement authority.

b) The CPO may submit purchase requests to CMS or another State agency with

appropriate procurement authority in accordance with applicable rules.


SUBPART D: SOURCE SELECTION AND CONTRACT FORMATION

Section 500.320 Competitive Sealed Proposals

a) The Competitive Sealed Proposal method of source selection shall be used to

procure professional and artistic services, except as otherwise provided in

subsection (b) of this Section. Other supplies and services may be procured

through the Competitive Sealed Proposal method of source selection, on a case-

by-case basis, when it is determined by the Procurement Officer that competitive

sealed bidding is either not practicable or advantageous.

1) "Professional and artistic services" means those services provided under

contract to a State agency by a person or business, acting as an

independent contractor, qualified by education, experience, and technical

ability [30 ILCS 500/1-15.60].

2) "Practicable" Distinguished from "Advantageous". As used in this

Section, "practicable" denotes what may be accomplished or put into


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practical application, and "advantageous" connotes a judgmental

assessment of what is in the State's best interest. Competitive sealed

bidding may be practicable, that is, reasonably possible, but not

necessarily advantageous, that is, in the State's best interest.

A) Factors to be considered in determining whether competitive

sealed bidding is not practicable include:

i) whether the contract needs to be other than a fixed-price

type;

ii) whether oral or written discussions may need to be

conducted with offerors concerning technical and price

aspects of their proposals;

iii) whether offerors may need to be afforded the opportunity

to revise their proposals, including price;

iv) whether award may need to be based upon a comparative

evaluation, as stated in the RFP, of differing price, quality,

and contractual factors in order to determine the most

advantageous offering to the State. Quality factors include

technical and performance capability and the content of the

technical proposal; and

v) whether the primary consideration in determining award

may not be price.

B) Factors to be considered in determining whether competitive

sealed bidding is not advantageous include:

i) if prior procurements indicate that competitive sealed

proposals may result in more beneficial contracts for the

State; and

ii) whether the factors listed in subsection (a)(2)(A) of this

Section are desirable, in conducting a procurement, rather

than necessary.


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b) All new procurements of professional and artistic services shall be made using the

procedures contained in this Section, except:

1) Procurements under Section 500.330 (Small Purchases);

2) Procurements under Section 500.340 (Sole Source Procurement);

3) Procurements under Section 500.350 (Emergency Procurements);

4) Procurements of contract audit services pursuant to subsection (c) of this

Section; and

5) Procurements subject to the Architectural, Engineering and Land

Surveying Qualifications Based Selection Act [30 ILCS 535].

c) Contract Audit Rotation

1) Auditor Retention Policy. Initial audits by a contractor involve audit

hours to identify key records and personnel, become familiar with agency

operations and the electronic data processing environment, determine what

internal controls and procedures are in place, and develop agency specific

audit programs. Retaining a contractor for successive audits of the same

agency generally allows audits to be conducted more economically,

efficiently and effectively, and minimizes audit effort by both the

contractor and the agency under audit. Professional auditing standards

generally recognize the importance of an auditor retention policy.

2) Rotation Policy. To maximize the efficiencies obtained by auditor

retention, it is the OAG's general policy, subject to the OAG's sole

discretion, to maintain the same contractor on an audit engagement for six

successive fiscal years, subject to an examination of thosesuch factors,

including but not limited to performance review, the satisfactory

negotiation of terms (including price) and the annual availability of an

appropriation.

3) Emergency Purchases. The term of a contract for audit or examination

services procured in compliance with the emergency purchase provisions

of Section 500.350 shall not be limited to 90 calendar days but shall be

valid until the completion of the audit or examination to which the


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contract relates.

d) Contents

The RFP shall be in the form specified by the Procurement Officer and shall

contain at least the following information:

1) instructions and information to proposers concerning the proposal

submission requirements, including the time and date set for receipt of

proposals, and the address of the office to which proposals are to be

delivered;

2) the purchase description, evaluation factors, delivery or performance

schedule, and such inspection and acceptance requirements as are not

included in the purchase description;

3) a statement of the minimum information that the proposal shall contain,

which may, by way of example, include:

A) the name of the offeror, the location of the offeror's principal place

of business and, if different, the place of performance of the

proposed contract;

B) the abilities, qualifications, and experience of key persons who

would be assigned to provide the required services;

C) a listing of other contracts under which services similar in scope,

size, or discipline to the required services were performed or

undertaken within a previous period of time, as specified in the

RFP;

D) a plan, giving as much detail as is practical, explaining how the

services will be performed; and

4) price (to be submitted in a separate envelope in the proposal package and

not mentioned elsewhere in the proposal package).

e) Prequalification

The Procurement Officer shall maintain a list of prequalified professional and

artistic vendors in accordance with Section 500.420 of this Part. Persons may


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amend statements of qualifications at any time by filing a new statement. Failure

of a professional and artistic vendor to prequalify shall not be cause for rejection

of a proposal provided that the responsive offeror supplies with its proposal all

information defined by the prequalification process.

f) Public Notice

1) Proposals shall be obtained by issuing an RFP. Notice of Intent to Issue

an RFP may be made by the Procurement Officer.

2) Availability of the RFP shall be published in the Auditor General Bulletin

at least 14 calendar days before proposals are due.

3) The RFP shall also be distributed to prequalified persons expressing

interest in performing the services required by the proposed contract.

g) Pre-Proposal Conference

A pre-proposal conference, if appropriate, shall be conducted in accordance with

Section 500.310(f) (Pre-Bid Conference). Such a conference may be held

anytime prior to the date established for submission of proposals.

h) Receipt and Registration of Proposals

Proposals shall not be opened publicly but shall be opened in the presence of at

least one witness. Proposals and modifications shall be time-stamped upon

receipt and held in a secure place until the established due date. After the date

established for receipt of proposals, a Register of Proposals shall be prepared

which shall include for all proposals the name of each offeror, the number of

modifications received, if any, and a description sufficient to identify the supply

or service offered. All proposals, except as otherwise provided in subsection (i)

of this Section, and the Register of Proposals, shall be available for public

inspection after award.

i) Confidential Data

The Procurement Officer shall examine the proposals to determine the validity of

any written requests from the vendor for nondisclosure of trade secrets or other

proprietary data. If the parties do not agree as to the disclosure of data or other

information, the proposal shall be rejected as non-responsive.

j) Evaluation of Proposals


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The requests for proposals shall state the relative importance of price and other

evaluation factors. Proposals shall be submitted in 2 parts: the first, covering

items except price, and the second, covering price. The first part of all proposals

shall be evaluated and ranked independently of the second part of all proposals.

Factors not specified in the RFP shall not be considered. Numerical rating

systems may be used but are not required.

k) Discussions

1) Discussions Permissible.

A) The Procurement Officer may conduct discussions with any offeror

to:

i) promote understanding of the OAG's requirements and the

offerors' proposals;

ii) determine in greater detail such offeror's qualifications;

iii) explore with the offeror the scope and nature of the

required services, the offeror's proposed method of

performance, and the relative utility of alternative methods

of approach; and

iv) facilitate arriving at a contract that will be most

advantageous to the OAG, taking into consideration price

and the other evaluation factors set forth in the RFP.

B) The Procurement Officer may allow changes to the proposal based

on those discussions.

2) No Disclosure of Information. Discussions shall not disclose any

information derived from proposals submitted by other offerors, and

information contained in any proposals shall not be disclosed until after

award of the proposed contract has been made.

3) Best and Final Offers. The Procurement Officer may request best and

final offers from those offerors deemed acceptable after completion of any

discussions. Best and final offers shall be submitted by a specified date


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and time. The Procurement Officer may conduct additional discussions or

change the OAG's requirements and require another submission of best

and final offers. The scope of the best and final and the number of offerors

allowed to participate shall be defined by the Procurement Officer. If an

offeror does not submit either a notice of withdrawal or another best and

final offer, that offeror's immediately previous offer will be construed as

its best and final offer.

4) Nothing in this Section shall prohibit the Procurement Officer from

making a selection that represents the best value, qualifications, price and

other relevant factors established in the RFP being considered. The

Procurement Officer may, in considering best value, determine the

proposal from a fully qualified vendor that submitted the lowest price to

be the best value without further evaluation.

l) Award

An award shall be made by the Procurement Officer pursuant to a written

determination showing the basis on which the award was found to be most

advantageous to the OAG, taking into consideration price and the evaluation

factors set forth in the request for proposals. The contract file shall contain the

basis on which the award is made. If the price of the most qualified vendor is not

the lowest price, and if the price exceeds $100,000$30,000, the Procurement

Officer must state in writing why a vendor other than the low priced vendor was

selected and that determination must be published in the Auditor General Bulletin.

m) Publicizing Awards

Notice of award shall be issued by either paper or electronic means to all offerors

submitting responses to the solicitation and published in the Auditor General

Bulletin prior to contract execution.

n) Pre-solicitation Request for Information

When the Procurement Officer does not have sufficient information about

available supplies or services to issue an RFP, the Procurement Officer may issue

a Pre-solicitation request for information inviting vendors to submit non-price

information about the availability of specified types of supplies or services.

Public notice of the Pre-solicitation request for information shall be published in

the Auditor General Bulletin at least 14 calendar days before the date set for the

receipt of information. The submission of information by a vendor in response to

a Pre-solicitation request for information is not a prerequisite for that vendor to


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respond to a subsequent IFB or RFP for the types of supplies or services for

which information was solicited, and the issuance of a Pre-solicitation request for

information does not commit the OAG to make any procurement of supplies or

services of any kind. Confidential information will not be accepted from a vendor

in response to a Pre-solicitation request for information.


Section 500.330 Small Purchases

a) Application

1) Any individual procurement not exceeding $100,000Procurements of

$33,500 or less for supplies or services, not exceeding $100,000other than

professional and artistic, of less than $30,000 for professional and artistic

services, and not exceeding $100,000of $50,000 or less for construction,

may be made without advance notice, competition or use of any prescribed

method of source selection.

2) Any change identified by the United States Department of Labor in the

Consumer Price Index, as certified by CMS or another State agency with

appropriate authority, for All Urban consumers for the period ending

December 31, 1998, and for each year thereafter, shall be used to calculate

the small purchase maximums that shall be applicable for the fiscal year

beginning July 1, 1999. The small purchase maximums shall be likewise

recalculated for each July 1 thereafter. Changes to the small purchase

maximums can be found on the Illinois Procurement Policy Board website

(ppb.illinois.gov) and updated annually.

b) In determining whether a contract is under the limit, the stated value of the

supplies or services, plus any optional supplies and services, determined in good

faith, shall be utilized. Where the value is calculated month-to-month or in a

similar fashion, the amount shall be calculated for a twelve month period.

c) If only a unit price or hourly rate is known, the contract shall be considered small

and shall have a not to exceed limit applicable to the type of procurement (see

subsection (a)).

d) If, after signing the contract, the actual cost of completing the contract is


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determined to exceed the small purchase amount, and the Procurement Officer

determines that a supplemental procurement is not economically feasible or

practicable because of the immediacy of the agency's needs or other

circumstances, the Procurement Officer must follow the procedures for sole

source or emergency procurement, whichever is applicable, to complete the

contract.

e) Notice of award shall be published in the Auditor General Bulletin no later than

14 calendar days after the contract is awarded.


Section 500.350 Emergency Procurements

a) Application

The provisions of this Section apply to every procurement over the small purchase

limit set in Section 500.330 (Small Purchases) of this Part and that is not a sole

source procurement under Section 500.340 of this Part made under emergency,

including quick purchase, conditions.

b) Definition of Emergency Conditions

Procurements may be made under this Section 500.350 in the following

circumstances:

1) Traditional circumstances include but are not limited to:

A) public health or safety, including the health or safety of any

particular person, is threatened;

B) immediate repairs are needed to OAG property to protect against

further loss or damage to OAG property, or to prevent loss or

damage to OAG property;

C) immediate action is needed to prevent or minimize serious

disruption in critical OAG services that affect health, safety or

collection of substantial State revenues;

D) action is needed to ensure the integrity of State records;


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E) equipment or services are necessary in the furtherance of covert

activities (including the conduct of audits and investigations)

lawfully conducted by the OAG. Any required disclosures may be

postponed or shall be made so as not to jeopardize those covert

activities;

F) immediate action is necessary to avoid lapsing or loss of federal or

donated funds; or

G) the need for items to protect or further State interests is immediate

and use of other competitive source selection procedures under this

Part cannot be accomplished without significant risk of causing

serious disadvantage to the State.

2) After Unsuccessful Competitive Sealed Bidding or Request for Proposals.

When bids or proposals received pursuant to a competitive sealed bid or

competitive sealed proposal method are unreasonable or non-competitive,

or the price exceeds available funds, and time or other circumstances will

not permit the delay required to resolicit competitive sealed bids or

proposals, and if emergency conditions exist after an unsuccessful attempt

to use competitive sealed bidding or competitive sealed proposals, an

emergency procurement may be made.

3) Extension to Allow Competition. Extending an existing contract for such

period of time as is needed to conduct a competitive method of source

selection whenwhere terminating or allowing the contract to terminate

would not be advantageous to the OAG.

4) Quick Purchase

A) A supplier announces bankruptcy, cessation of business, or loss of

franchise, or gives other similar reason such that making a

purchase immediately is more advantageous to the OAG than

instituting a competitive procurement under the provisions of this

Part for the supplies or services;

B) Items are available on the spot market or at discounted prices for a

limited time so that good business judgment mandates a purchase

immediately to take advantage of the availability and price;


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C) availability of rare items, such as books of historical value;

D) the procurement is for entertainment.

c) Scope and Duration of Emergency Conditions

Emergency procurements shall be limited to those supplies, services or

construction items necessary to meet the emergency. Except as otherwise

provided in Section 500.320(c)(3), the term of the emergency purchase shall be

limited to the time reasonably needed for a competitive procurement, not to

exceed 90 calendar days. A contract may be extended beyond 90 calendar days if

the Procurement Officer determines additional time is necessary and the contract

scope and duration are limited to the emergency. Prior to execution of the

extension, the Procurement Officer must hold a public hearing and provide

written justification for all emergency contracts. Members of the public may

present testimony.

d) Source Selection Methods

Any method of source selection, whether or not identified in this Part, may be

used to conduct the procurement in emergency situations. The procedure used

shall be selected to assure that the required items are procured in time to meet the

emergency. Such competition as is practicable shall be obtained.

e) Determination and Record of Emergency Procurement

1) Determination. The Procurement Officer shall make a written

determination stating the basis for an emergency procurement and for the

selection of the particular contractor. TheseSuch determinations shall be

kept in the contract file.

2) Record. A statementAn affidavit of each emergency procurement shall be

filed with the Auditor General within 10 calendar days after the

procurement and shall include the following information:

A) the vendor's name;

B) the amount and type of the contract, provided that if only an

estimate of the amount is available immediately, the record shall

be supplemented with the final amount once known;


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C) a description of what the vendor will do or provide; and

D) the reasons for using the emergency method of source selection.

3) Notice of the Emergency Procurement. Notice of the emergency

procurement shall be published in the Auditor General Bulletin no later

than 5 calendar days after the contract is awarded and shall include a

description of the procurement, the reasons for the emergency

procurement and the total cost. When only an estimate of the total cost is

known at the time of publication, the estimate shall be identified as an

estimate and published. When the actual total cost is determined, it shall

also be published in like manner before the 10th day of the next

succeeding month.

4) Notice of Extension. Notice of intent to extend an emergency contract

shall be published in the Auditor General Bulletin no later than 14

calendar days prior to a public hearing. Notice shall include at least a

description of the need for the emergency purchase, the contractor and, if

applicable, the date, time and location of the public hearing. Any hearing

shall be conducted in accordance with the procedures set forth in Section

500.1340.


SUBPART E: SUPPLIERS, PREQUALIFICATION AND RESPONSIBILITY

Section 500.400 Suppliers

The OAG may contract with any qualified source of supply, including the following special

sources, from which procurements may be made without notice and competition:

a) Correctional Industries;

b) State and Federal Surplus Warehouses under the jurisdiction of CMS. The State

Property Control Act [30 ILCS 605/7a] requires that surplus furniture be

considered before any purchase of new furniture valued at $500 or more per

piece;


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c) Qualified workshops for persons with significant disabilitiesthe disabled;

d) State agencies and other governmental units.


Section 500.430 Responsibility

a) Application

Contracts are to be made only with responsible vendors unless no responsible

vendor is available to meet the OAG's needs. If there is doubt about

responsibility, and if a bond or other security would adequately protect the State's

interests, then that vendor may be awarded a contract upon receipt of the bond or

other security.

b) Standards of Responsibility

1) Standards. Factors to be considered in determining whether the standard

of responsibility has been met may include, but are not limited to, whether

a prospective vendor:

A) has available the appropriate financial, material, equipment,

facility, and personnel resources and expertise (or the ability to

obtain them) necessary to indicate its capability to meet all

contractual requirements (the Procurement Officer may designate a

level below which the vendor will be deemed "not responsible");

B) is able to comply with required or proposed delivery or

performance schedules, taking into consideration all existing

commercial and governmental commitments;

C) has a satisfactory record of performance. Vendors who are or have

been deficient in current or recent contract performance in dealing

with the State or other customers may be deemed "not responsible"

unless the deficiency is shown to have been beyond the reasonable

control of the vendor;

D) has a satisfactory record of integrity and business ethics. Vendors

who are under investigation or indictment for criminal or civil


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actions that bear on the particular procurement or that create a

reasonable inference or appearance of a lack of integrity on the

part of the vendor may be declared not responsible for the

particular procurement;

E) is a legal entity authorized to transact or conduct affairs in Illinois

prior to submitting the bid, offer or proposal and is authorized to

transact business or conduct affairs in Illinois prior to execution of

the contractqualified legally to contract with the State;

F) has supplied all necessary information in connection with the

inquiry concerning responsibility;

G) has a current Public Contracts number from the Illinois

Department of Human Rights, pursuant to 44 Ill. Adm. Code

750.210, if required. Proof of application prior to opening of bids

or proposals will be sufficient for an initial determination;

H) pays prevailing wages, if required by law; and

I) is current in payment of all State of Illinois taxes, including the

unemployment insurance tax.

2) Information Pertaining to Responsibility. The prospective vendor shall

supply information requested by the Procurement Officer concerning the

responsibility of thesuch vendor. The OAG may supplement this

information from other sources and may require additional documentation

at any time. If thesuch vendor fails to supply the requested information,

the Procurement Officer shall base the determination of responsibility

upon any available information, or may find the prospective vendor

nonresponsible.

c) Written Determination of Nonresponsibility Required

If a vendor who otherwise would have been awarded a contract is found

nonresponsible, a written determination of nonresponsibility setting forth the basis

of the finding shall be prepared by the Procurement Officer. The final

determination shall be made part of the procurement file.

d) Bond for Responsibility


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Vendors not having a history of performance may be considered responsible if no

other disqualifying factors exist. A bond or other security may be required of

thesesuch vendors.

e) Affiliated Companies

Vendors who are newly formed business concerns having substantially the same

owners, officers, directors, or beneficiaries as a previously existing vendor that

has been determined not responsible will also be determined not to be responsible

unless the new organization can prove it was not set up for the purpose of

avoiding an earlier determination of nonresponsibility.


SUBPART G: SPECIFICATIONS

Section 500.600 Specifications

a) Responsibilities Regarding Specifications

The Procurement Officer is authorized to write specifications for procurements

for the OAG.

b) Procedures for the Development of Specifications

1) All procurements shall be based on specifications that accurately reflect

the OAG's needs. Specifications shall clearly and precisely describe the

salient technical or performance requirements.

2) Specifications shall not include restrictions that do not significantly affect

the technical requirements or performance requirements, or other

legitimate OAG needs. All specifications shall be written in such a

manner as to describe the requirements to be met, without having the

effect of exclusively requiring a proprietary supply or service, or

procurement from a sole source, unless no other manner of description

will suffice.

3) Any specifications or standards adopted by business, industry, not-for-

profit organization or governmental unit may be adopted by reference.

4) A specification may provide alternate descriptions where two or more


18

AUDITOR GENERAL


design, functional, or performance criteria will satisfactorily meet the

OAG's requirements.

5) A solicitation or specification for a contract, or a contract, may not

require, stipulate, suggest or encourage a monetary or other financial

contribution or donation, cash bonus or incentive, or economic investment

as an explicit or implied term or condition of awarding or completing the

contract. [30 ILCS 500/20-50]

c) Brand Name or Equal Specification

1) Brand name or equal specifications may be used when the Procurement

Officer determines in writing that:

A) no specification for a common or general use specification or

qualified products list is available;

B) time does not permit the preparation of another form of

specification, not including a brand name specification;

C) the nature of the product or the nature of the OAG's requirement

makes use of a brand name or equal specification suitable for the

procurement; or

D) use of a brand name or equal specification is in the OAG's best

interest.

2) Brand name or equal specifications shall seek to designate more than one

brand as "or equal," and shall further state that substantially equivalent

products to those designated will be considered for award.

3) Unless the Procurement Officer determines that the essential

characteristics of the brand names included in the specifications are

commonly known in the industry or trade, brand name or equal

specifications shall include a description of the particular design,

functional, or performance characteristics that are required.

4) WhenWhere a brand name or equal specification is used in a solicitation,

the solicitation shall contain explanatory language that the use of a brand


18

AUDITOR GENERAL


name is for the purpose of describing the standard of quality, performance,

and characteristics desired and is not intended to limit or restrict

competition. "Or equal" submissions will not be rejected because of

minor differences in design, construction or features that do not affect the

suitability of the product for its intended use. Burden of proof that the

product is equal is on the vendor.

d) Brand Name Only Specification

1) Determination. A brand name only specification may be used only when

the Procurement Officer makes a written determination that only the

identified brand name item or items will satisfy the OAG's needs.

2) Use. Brand name alone may be specified in order to fill medical

prescription needs, to stock State retail-type operations, to ensure

compatibility in existing systems, to preserve warranty, to ensure

maintenance, or as authorized in writing by the Procurement Officer. The

OAG may, pursuant to an authorized competitive procedure, select a

particular vendor to provide supplies or services for a specified period of

time, and for that period the supplier of additional, related and updated

supplies and services may be limited to the selected vendor or the brand

initially selected.

3) Competition. The Procurement Officer shall seek to identify sources from

which the designated brand name item or items can be obtained and shall

solicit thosesuch sources to achieve whatever degree of competition is

practicable. If only one source can supply the requirement, the

procurement shall be made under Section 500.340 (Sole Economically

Feasible Source Procurement) of this Part.

4) Small and Emergency Procurements. Brand name only specifications may

be used when procuring items under the small (Section 500.330 of this

Part) and emergency (Section 500.350 of this Part) provisions of this Part.

e) Qualified Products List

1) Use. A qualified products list may be developed by the Procurement

Officer when testing or examination of the supplies prior to issuance of the

solicitation is desirable or necessary in order to best satisfy OAG


18

AUDITOR GENERAL


requirements.

2) Solicitation. When developing a qualified products list, a notice shall be

posted to the Auditor General Bulletin soliciting potential suppliers to

submit products for testing and examination to determine acceptability for

inclusion in a qualified products list.

3) Testing and Confidential Data. Inclusion on a qualified products list shall

be based on results of tests or examinations conducted in accordance with

established requirements. Except as otherwise provided by law, trade

secrets, test data, and similar information provided by the supplier will be

kept confidential when requested in writing by the supplier.

f) Proven Products

The supply or service may be rejected if it has not been offered to other

governmental or commercial accounts for at least one year prior to the notice date

of a solicitation. Specifications may require that the supply or services must have

been used in governmental or commercial venues for a specified period of time to

be considered.

g) Product Demonstration

Any vendor may request time and space to demonstrate a product or service.

Agreement to allow thesesuch demonstration will be solely at the OAG's

discretion and will not entitle the vendor to a contract nor shall payment for the

demonstration be allowed unless a written contract had been executed prior to the

demonstration.

h) Prohibition on Incentives

A solicitation or specification for a contract, or a contract, may not require,

stipulate, suggest or encourage a monetary or other financial contribution or

donation, cash bonus or incentive, or economic investment as an explicit or

implied term or condition for awarding or completing the contract.

i) Prohibited Bidders and Contractors

1) No person or business shall bid, offer, or enter into a contract with the

OAG if the person or business assisted an employee of the OAG, who, by

the nature of his or her duties, has the authority to participate personally

and substantially in the decision to award an OAG contract, by reviewing,


18

AUDITOR GENERAL


drafting, directing or preparing any invitation for bids, a request for

proposal, or request for information or provided similar assistance except

as part of a publicly issued opportunity to review drafts of all or part of

these documents.

2) This subsection (i) does not prohibit a person or business from submitting

a bid or offer or entering into a contract if the person or business:

A) initiates a communication with an employee to provide general

information about industry trends and innovations, products,

services, or industry best practices and, if applicable, that

communication is documented;

B) responds to a communication initiated by an employee of the OAG

for the purposes of providing information to evaluate new

products, trends, services or technologies;

C) asks for clarification regarding a solicitation, so long as there is

no competitive advantage to the person or business and the

question and answer, if material, are posted to the Auditor General

Bulletin as an addendum to the solicitation [30 ILCS 500/50-

10.5(e)];

DC) receives or possesses written material obtained from a State

employee from public sources, such as through an internet search,

or literature packets obtained in conjunction with an event such as

a trade show; or

ED) provides, at the request of the OAG, general marketing material or

makes a general sales presentation to show the person's

qualifications or product capabilities. Material may be

personalized for the OAG provided any personalization is obtained

from publicly available sources.

3) Nothing in this Section prohibits a vendor developing technology, goods,

or services from bidding or offering to supply that technology or those

goods or services if the subject demonstrated to the State represents

industry trends and innovation and is not specifically designed to meet the

State's needs.


18

AUDITOR GENERAL


4) No person or business shall submit specifications to a State agency unless

requested to do so by an employee of the State. No person or business

who contracts with a State agency to write specifications for a particular

procurement need shall submit a bid or proposal or receive a contract for

that procurement need.

5) For purposes of this subsection (i), "business" includes all individuals

with whom a business is affiliated, including, but not limited to, any

officer, agent, employee, consultant, independent contractor, director,

partner, or manager of a business. [30 ILCS 500/50-10.5(e)]


SUBPART J: CONTRACT MATTERS

Section 500.910 Filing with Comptroller

a) Filing with Comptroller

Whenever a contract liability, except for contracts paid from personal services or

contracts between the State and its employees to defer compensation in

accordance with Article 24 of the Illinois Pension Code [40 ILCS 5], exceeding

$20,000 is incurred by the OAG, a copy of the contract, purchase order, or lease

shall be filed with the Comptroller within 30 calendar days thereafter.

b) Late Filing Affidavit

When a contract, purchase order, or lease required to be filed by this Section has

not been filed within 30 calendar days after execution, the OAG must file with the

Comptroller an affidavit, signed by the Auditor General or his or her designee,

setting forth an explanation of why the contract liability was not filed within 30

calendar days after execution. A copy of this affidavit shall be filed with the

Auditor General.

c) Timely Execution of Contracts

No voucher shall be submitted to the Comptroller for a warrant to be drawn for

the payment of money from the State treasury or from other funds held by the

State Treasurer on account of any contract unless the contract is reduced to

writing before the services are performed and filed, if so required under

subsection (a), with the Comptroller. ContractorsVendors shall not be paid for


18

AUDITOR GENERAL


any suppliesgoods that were received or services that were rendered before the

contract was reduced to writing and signed by all necessary parties. A

Procurement Officer may request an exception to this requirement by submitting a

written statement to the Comptroller and Treasurer setting forth the circumstances

and reasons why the contract could not be reduced to writing before the supplies

were received or services were performed. A waiver of this requirement must be

approved by the Comptroller and Treasurer. The requirements of this subsection

shall not apply to emergency purchases if notice of the emergency purchase is

published in the Auditor General Bulletin as required by Section 500.350.


SUBPART L: PREFERENCES

Section 500.1120 Soybean Oil-based Ink and Vegetable Oil-based Ink

Contracts requiring the procurement of offset printing services shall specify the use of soybean

oil-based ink or vegetable oil-based ink unless the Procurement Officer determines that another

type of ink is required to assure high quality and reasonable pricing of the printed product. This

Section does not apply to digital printing services.


Section 500.1130 Recycled Supplies

When a public contract is to be awarded to the lowest responsible bidder or offeror, an

otherwise qualified bidder or offeror who will fulfill the contract through the use of products

made of recycled supplies shallmay be given preference over other bidders or offerors unable to

do so, provided that the cost included in the bid of supplies is equal to or less than other bids or

offers, unless the use of the product constitutes an undue practical hardshipmade of recycled

materials does not constitute an undue economic or practical hardship. [30 ILCS 500/45-20]


Section 500.1160 Qualified Not-for-Profit Agencies for Persons with SignificantSevere

Disabilities

a) Use

The Procurement Officer may determine to contract with a qualified not-for-profit


18

AUDITOR GENERAL


agency for persons with significantsevere disabilities on the list maintained by the

State Use Committee and may do so without notice or competition.

b) Pricing Approval

While notice and competition is not required prior to contracting with a qualified

not-for-profit agencies for persons with significantsevere disabilities, prices must

be reasonable. Whether a price is reasonable will be determined based upon

current market prices, historical prices, prices received by other State agencies for

similar supplies or services, the policy of the Code to promote procurements from

qualified not-for-profit agencies for persons with significantsevere disabilities,

and other such relevant factors.


Section 500.1190 Contracting with Businesses Owned and Controlled by Minorities,

WomenFemales and Persons with Disabilities

a) Upon direction of the CPO, the OAG may establish goals and other such

preferences for contracting or subcontracting with businesses owned and

controlled by minorities, womenfemales and persons with disabilities.

b) For purposes of this Section, the individuals claiming ownership and control must

own at least 51% of the business.

c) The CPO may refer to the list of businesses that have been certified by CMS or

other appropriate agency under the Business Enterprise Act for Minorities,

Women,Females and Persons with Disabilities [30 ILCS 575].


SUBPART M: ETHICS

Section 500.1260 Reporting Anticompetitive Practices

When, for any reason, any vendor, bidder, offeror, potential contractor, contractor, chief

procurement officer, State purchasing officer, designee, elected official, or State employee

suspects collusion or other anticompetitive practice among any bidders, offerors, potential

contractors, contractors, or employees of the State, a notice of the relevant facts shall be

transmitted to the appropriate Inspector General, the Attorney General, and the chief


18

AUDITOR GENERAL


procurement officer. [30 ILCS 500/50-40]


Section 500.1270 Confidentiality

Any chief procurement officer, State purchasing officer, designee, or executive officer, or State

employee who willfully uses or allows the use of specifications, competitive solicitation

documents, proprietary competitive information, contracts, or selection information to

compromise the fairness or integrity of the procurement or contract process shall be subject to

immediate dismissal [30 ILCS 500/50-45], regardless of personnel rules, any contract, law or

other agreement, and may, in addition, be subject to criminal prosecution.


Section 500.1275 Procurement Communications Reporting Requirement

a) Reporting Requirement

1) Any written or oral communication received by a State employee who, by

the nature of his or her duties, has the authority to participate personally

and substantially in the decision to award a State contract and that

imparts or requests material information or makes a material argument

regarding potential action concerning an active procurement matter,

including, but not limited to, an application, a contract, or a project, shall

be reported to the CPO. These communications do not include the

following:

A) statements by a person publicly made in a public forum;

B) statements regarding matters of procedure and practice, such as

format, the number of copies required, the manner of filing, and

the status of a matter;

C) statements made by an OAG employee to the Auditor General or

other employees of the OAG, or to an employee of another State

agency who, through the communication, is either:


18

AUDITOR GENERAL


i) exercising his or her experience or expertise in the subject

matter of the particular procurement in the normal course

of business, for official purposes, and at the initiation of the

OAG; or

ii) exercising oversight, supervisory, or management authority

over the procurement in the normal course of business and

as part of official responsibilities;

D) unsolicited communications providing general information about

products, services, or industry best practices before those products

or services become involved in a procurement matter;

E) communications received in response to procurement solicitations,

including, but not limited to, vendor responses to a request for

information, request for proposal, request for qualifications,

invitation for bid, or a small purchase, sole source, or emergency

solicitation, or questions and answers posted to the Auditor

General Bulletin to supplement the procurement action, provided

that the communications are made in accordance with the

instructions contained in the procurement solicitation, procedures,

or guidelines;

F) communications that are privileged, protected, or confidential

under law; and

G) communications that are part of a formal procurement process as

set out by statute, rule, or the solicitation, guidelines, or

procedures, including, but not limited to, the posting of

procurement opportunities, the process for approving a

procurement or its equivalent, fiscal approval, submission of bids,

the finalizing of contract terms and conditions with an awardee or

apparent awardee, and similar formal procurement processes.

2) The reporting requirement does not apply to any communication asking

for clarification regarding a contract solicitation so long as there is no

competitive advantage to the person or business and the question and

answer, if material, are posted to the Auditor General Bulletin as an

addendum to the solicitation.


18

AUDITOR GENERAL


32) The provisions of this Section shall not apply to communications

regarding the administration and implementation of an existing contract,

except communications regarding change orders or the renewal or

extension of a contract. [30 ILCS 500/50-39(a)]

b) The report required by subsection (a) shall be submitted monthly and include at

least the following:

1) the date and time of each communication;

2) the identity of each person from whom the written or oral communication

was received, the individual or entity represented by that person, and any

action the person requested or recommended;

3) the identity and job title of the person to whom each communication was

made;

4) if a response is made, the identity and job title of the person making each

response;

5) a detailed summary of the points made by each person involved in the

communication;

6) the duration of the communication;

7) the location or locations of all persons involved in the communication

and, if the communication occurred by telephone, the telephone numbers

for the callers and recipients of the communication; and

8) any other pertinent information. [30 ILCS 500/50-39(b)]

c) Additionally, when an oral communication made by a person required to register

under the Lobbyist Registration Act is received by a State employee that is

covered under this Section, all individuals who initiate or participate in the oral

communication shall submit a written report to that State employee that

memorializes the communication and includes, but is not limited to, the items

listed in subsection (b). [30 ILCS 500/50-39(c)]


18

AUDITOR GENERAL


d) The CPO shall make each report submitted pursuant to this Section available on

the Auditor General Bulletin within 7 calendar days after receipt of the report. No

trade secrets or other proprietary or confidential information shall be included in

any communication reported to the CPO. [30 ILCS 500/50-39(b)]

e) The reporting requirements shall also be conveyed through ethics training under

the State Officials and Employees Ethics Act [5 ILCS 430]. An employee who

knowingly and intentionally violates this Section shall be subject to suspension or

discharge.

f) For purposes of this Section:

1) "Active Procurement Matter" means a procurement process beginning

with requisition or determination of need by an agency and continuing

through the publication of an award notice or other completion of a final

procurement action, the resolution of any protests, and the expiration of

any protest or review period, if applicable. "Active procurement matter"

also includes communications relating to change orders, renewals, or

extensions.

2) "Material Information" means information that a reasonable person

would deem important in determining his or her course of action and

pertains to significant issues, including, but not limited to, price, quantity,

and terms of payment or performance.

3) "Material Argument" means a communication that a reasonable person

would believe was made for the purpose of influencing a decision relating

to a procurement matter. "Material argument" does not include general

information about products, services, or industry best practices or a

response to a communication initiated by an employee of the State for the

purposes of providing information to evaluate new products, trends,

services, or technologies. [30 ILCS 500/50-39(g)]


Section 500.1285 Continuing Disclosure; False Certification

Every person that has entered into a multi-year contract for more than one year in duration for

the initial term or for any renewal termand every subcontractor with a multi-year subcontract


18

AUDITOR GENERAL


shall certify, by JanuaryJuly 1 of each fiscal year covered by the contract after the initial fiscal

year, to the responsible chief procurement officer of any changes that affect its abilitywhether it

continues to satisfy the requirements of Article 50 of the Code pertaining to eligibility for a

contract award. If a contractor or subcontractor continues to meet all requirements of Article

50 of the Code, it shall not be required to submit any certification or if the work under the

contract has been substantially completed before contract expiration but the contract has not yet

expired. If a contractor or subcontractor is not able to truthfully certify that it continues to meet

all requirements, it shall provide with its certification a detailed explanation of the

circumstances leading to the change in certification status. A contractor or subcontractor that

makes a false statement material to any given certification required under Article 50 of the Code

is, in addition to any other penalties or consequences prescribed by law, subject to liability

under the Illinois False Claims Act [740 ILCS 175] for submission of a false claim. [30 ILCS

500/50-2]



18

DEPARTMENT ON AGING

NOTICE OF PUBLIC HEARING ON PROPOSED AMENDMENTS

1) Heading of the Part: Community Care Program


3) Register Citation to Notice of Proposed Rules: 42 Ill. Reg. 314; January 12, 2018

4) Date, Time and Location of Public Hearings:

Friday, February 23, 2018

10:00 a.m. – 11:30 a.m.

Michael J. Howlett Building

Auditorium

2nd & Edwards Streets


5) Other Pertinent Information: The hearings will be held for the sole purpose of gathering

public comments on the proposed amendments. Persons interested in presenting

testimony at this hearing are advised that the Illinois Department on Aging will adhere to

the following procedures in the conduct of the hearing:

a) All persons attending the hearing must sign in at the registration desk and those

persons wishing to provide oral testimony must indicate this on the registration

form in the space provided.

b) No oral testimony shall exceed an aggregate of five (5) minutes. This time may

be reduced based on the number of people testifying.

c) Each person presenting oral testimony shall provide to the hearing officer a

written (preferably typed) copy of such testimony at the time the oral testimony is

presented. No oral testimony will be accepted without a written copy of the

testimony being provided.

d) All oral testimony will be recorded by stenographic or mechanical means.

e) No person will be recognized to speak for a second time until all persons wishing

to testify have done so.


18

DEPARTMENT ON AGING

NOTICE OF PUBLIC HEARING ON PROPOSED AMENDMENTS

f) In order to provide for a balanced presentation of views and to facilitate the

orderly conduct of the hearing, the hearing officer may impose such other rules of

procedures, including the order of call of witnesses, as she/he deems necessary.

g) The hearing officer may end the public hearing before the listed ending time in

the event there is no one available and ready who desires to offer comments on

the proposed amendments or if there is insufficient time for a person to offer

comments for a full five-minute span, or to accommodate public safety in an

emergency situation.

h) Unforeseen changes regarding the public hearing will be posted on the

Department’s web site.

i) Persons requiring reasonable accommodation due to disability must contact the

Office of General Counsel by Tuesday, February 20, 2018.

j) Name and Address of Agency Contact Person: Questions regarding these

proposed amendments or the public hearing shall be directed to:

Tracey Trigillo

Deputy General Counsel

Illinois Department on Aging

One Natural Resources Way, #100


[email protected]

217/785-3346


18

JOINT COMMITTEE ON ADMINISTRATIVE RULES

ILLINOIS GENERAL ASSEMBLY

SECOND NOTICES RECEIVED

The following second notices were received during the period of January 30, 2018 through

February 5, 2018. These rulemakings are scheduled for review at the Committee's March 13, 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

3/15/18 Office of the Comptroller, Office of the

Comptroller Standard Procurement (44 Ill.

Adm. Code 1120)

11/17/17

41 Ill. Reg.

13930

3/13/18

3/16/18 Department of Financial and Professional

Regulation, Illinois Athlete Agents Act

(Repealer) (68 Ill. Adm. Code 1155)

12/15/17

41 Ill. Reg.

14989

3/13/18

3/17/18 Department of Transportation, Aviation Safety

(92 Ill. Adm. Code 14)

12/15/17

41 Ill. Reg.

15050

3/13/18

3/21/18 Department on Aging, Adult Protection and

Advocacy Services (89 Ill. Adm. Code 270)

10/20/17

41 Ill. Reg.

12932

3/13/18


18

EXECUTIVE ORDER

2018-2

EXECUTIVE ORDER STRENGTHENING THE STATE'S ETHICS LAWS AND

COMPLIANCE

WHEREAS, the integrity of the Illinois government and State employees and officers and the

confidence of the people of Illinois in their State government is of paramount importance; and

WHEREAS, effectively and properly performing government business and maintaining the

confidence of the people of Illinois require employees and officers of the State of Illinois to

adhere to the highest standards of honesty, integrity, respect and impartiality in their conduct and

the performance of their official duties; and

WHEREAS, the State of Illinois has adopted various laws and regulations intended to promote

the honesty, integrity and impartiality of the employees, including but not limited to the State

Officials and Employees Ethics Act ("Ethics Act"), 5 ILCS § 430/1-1 et seq. and various

Executive Orders issued by the governors of the State of Illinois; and

WHEREAS, Executive Order 2016-04 directed the creation of the first State of Illinois Code of

Personal Conduct ("Code of Personal Conduct") for all State Employees and updated and

strengthened the policies and procedures for investigating and reporting allegations of

misconduct by State officeholders, appointees, employees, and vendors, as well as incidents at

State facilities; and

WHEREAS, in November 2017, Governor Rauner signed into law HB127 and SB402, which

amended the Ethics Act to strengthen State laws and policies against sexual harassment; and

WHEREAS, on December 15, 2017, CMS updated the Code of Personal Conduct to be

consistent with the Ethics Act laws regarding sexual harassment; and

WHEREAS, faithfully executing and ensuring compliance with the ethical laws and policies of

the State is critical to maintaining the standards of integrity, honesty, respect and impartiality that

the people of Illinois deserve; and

WHEREAS, there is no state statute, charter, ordinance, rule, regulation, executive order, or

agreement that should preempt the duty of any State officer or employee to act ethically and

refrain from sexual harassment under the Ethics Act and Code of Personal Conduct, including

collective bargaining agreements.

WHEREAS, the State of Illinois should look to best practices to coordinate sexual harassment

training and awareness, as well as all other ethics compliance; and


18

EXECUTIVE ORDER

WHEREAS, focusing resources and attention on compliance as a critical government function

aligns with the Ethics Act and Code of Personal Conduct and borrows from private sector

compliance models; and

WHEREAS, strengthening sexual harassment investigation requirements and training at State

Agencies and creating a Chief Compliance Office within the Office of the Governor is timely

and will significantly aid the State's critical interest in preventing sexual harassment;

THEREFORE, I, Bruce Rauner, Governor of Illinois, by virtue of my executive authority to

establish and enforce ethical standards for the executive branch and reassign functions among or

reorganize executive agencies, vested in me by Section 8 and Section 11 of Article V and

Section 2 of Article XIII of the Constitution of the State of Illinois, do hereby order as follows:

I. DEFINITIONS

"Ethics Officer" means the individual designated under 5 ILCS 420/20-23 by the head of each

State agency under the jurisdiction of the Executive Ethics Commission to provide guidance to

officers and employees in the interpretation and implementation of the Ethics Act.

"Sexual Harassment" means any unwelcome sexual advances or requests for sexual favors or any

conduct of a sexual nature when: (i) submission to such conduct is made either explicitly or

implicitly a term or condition of an individual's employment; (ii) submission to or rejection of

such conduct by an individual is used as the basis for employment decisions affecting such

individual; or (iii) such conduct has the purpose or effect of substantially interfering with an

individual's work performance or creating an intimidating, hostile, or offensive working

environment. For purposes of this definition, the phrase "working environment" is not limited to

a physical location an employee is assigned to perform his or her duties and does not require an

employment relationship.

"State Employees" means all officers, employees (including without limitation full-time, part-

time, and contractual employees), appointees (including without limitation paid and unpaid

appointees), and persons holding similar positions in the Executive Branch of the State of Illinois

under the jurisdiction of the Governor.

"State Agencies" means any office, department, agency, board, commission, or authority of the

Executive Branch of the State of Illinois under the jurisdiction of the Governor.

"Supervisor" means an officer, a member, or a State employee who has the authority to direct the

work performance of a State employee or who has authority to take corrective action regarding

any violation of a law, rule, or regulation of which the State employee complains.

II. APPLICABILITY OF ETHICS AND SEXUAL HARASSMENT LAWS


18

EXECUTIVE ORDER

All State Employees and State Agencies are subject to and bound by the Ethics Act. The Ethics

Act shall hereby be supreme above all other laws of the State and shall prevail and control in the

case of any conflict with other statutes, charters, ordinances, rules, regulations, executive orders

or agreements, including collective bargaining agreements.

III. CREATION OF THE CHIEF COMPLIANCE OFFICE, OFFICE OF THE

GOVERNOR

A Chief Compliance Office is hereby created within the Office of the Governor. The Chief

Compliance Office shall be led by a Chief Compliance Officer ("CCO") who shall be a licensed

attorney. In addition to any other duties and responsibilities requested by the Governor, the CCO

will aim to foster a culture of ethics and compliance within State Agencies by providing clear

policies, procedures and trainings for employees; detect, report and address allegations of

misconduct; and work with Ethics Officers to provide State Agencies and State Employees with

the tools and guidance to comply with applicable laws and regulations.

The Governor shall name a Chief Ethics Officer and Chief Diversity Officer, who, in addition to

any other duties and responsibilities requested by the Governor, shall be a part of the Chief

Compliance Office. The Chief Compliance Office may also include any other individual that the

CCO determines would aid in the execution of the duties and obligations of the Chief

Compliance Office and the Ethics Act. The CCO and Chief Ethics Officer shall have the rights,

duties and obligations granted to Ethics Officers under 5 ILCS 420/20-23. The Chief Ethics

Officer shall also act as liaison and advisor to Ethics Officers of State Agencies. The Chief

Diversity Officer shall advise the CCO and Chief Ethics Officer on sexual harassment

allegations and investigations that involve issues of diversity.

IV. REASSIGNMENT OF INVESTIGATIVE FUNCTIONS FOR SEXUAL

HARASSMENT ALLEGATIONS

The Ethics Act and Code of Personal Conduct state that State Employees should immediately

report allegations of sexual harassment to a supervisor, ethics officer, the Office of Executive

Inspector General for the Agencies of the Illinois Governor ("OEIG") or the Department of

Human Rights ("DHR"). To ensure allegations of sexual harassment are thoroughly investigated,

repeat offenders are identified, and victims are not subject to continued sexual harassment,

Supervisors and Ethics Officers must adhere to the following procedures and assignment of

functions.

1. Sexual Harassment Investigations. Supervisors shall immediately report all allegations of

sexual harassment received, directly or indirectly, to the State Agency's Ethics Officer. In

addition, to the extent any State Agency permits employees to report sexual harassment

allegations to State Agency Equal Employment Opportunity-Affirmative Action Officers,

such Officers shall also immediately report all allegations of sexual harassment received,


18

EXECUTIVE ORDER

directly or indirectly, to the State Agency's Ethics Officer. Unless the allegation is

immediately referred to the OEIG and the OEIG specifically instructs the Ethics Officer to

not investigate the matter until further instruction from the OEIG, the Ethics Officers shall

ensure the State Agency completes an initial review of each allegation of sexual harassment

within ten (10) business days of receipt of the allegation to determine whether further

investigation or action is warranted. If further investigation is warranted, the Ethics Officer

shall ensure the State Agency completes its investigation and make any referrals for

management action or disciplinary proceedings within thirty (30) days of receipt of the

allegation. Investigations may be conducted by Ethics Officers, Supervisors or other agents

as the Ethics Officer determines appropriate, but all investigations must be conducted in

coordination with the State Agency representative who received sexual harassment

investigation training as provided in Section IV(3) of this Executive Order.

2. Reporting to the Chief Compliance Office. Ethics Officers shall notify the Chief Compliance

Office of all sexual harassment allegations that are reported to the Ethics Officer and

Supervisors within his/her State Agency and any related findings and remedial or

disciplinary measures recommended or taken. All communications or reports shared among

and between the State Agency representatives and the Chief Compliance Office regarding

sexual harassment allegations and investigations shall remain confidential between the

parties directly involved unless otherwise required by law, consistent with the Freedom of

Information Act. Nothing in this Executive Order may be construed to modify the rights or

obligations of State Employees and Ethics Officers under Executive Order 2016-04 to report

misconduct to the OEIG.

3. Sexual Harassment Investigation Training. By December 31, 2018, and every two years

thereafter, at least one representative from each State Agency shall complete training on best

practices for investigations of alleged sexual harassment. Training programs shall be

overseen and approved by the CCO. Ethics Officers must file a certificate of compliance with

this requirement to the Chief Compliance Office by December 31, 2018 and every two years

thereafter.

4. Reports made to DHR, OEIG and law enforcement. Victims shall continue to have the

independent right to report allegations of sexual harassment to the DHR or the OEIG.

Nothing in this Executive Order may be construed to modify the OEIG's or the DHR's rules,

policies, procedures, rights or obligations relating to allegations of sexual harassment filed

before those bodies. This Executive Order is intended to strengthen sexual harassment

investigation and training requirements at the agency level. In addition, nothing in this

Executive Order shall be construed to modify any individual's rights and obligations to report

criminal activity, including but not limited to assault, to state or local law enforcement.

V. INCONSISTENT ACTS


18

EXECUTIVE ORDER

From the effective date of this Executive Order, and as long as such Executive Order remains in

effect, the operation of any prior act of the General Assembly inconsistent with this

reorganization is suspended to the extent of the inconsistency.

VI. SAVINGS CLAUSE

This Executive Order does not contravene any rules, regulation or other agency actions, except

as may be provided by Sections II, III and IV.

VII. PRIOR EXECUTIVE ORDERS

This Executive Order supersedes any contrary provision of any other prior Executive Order.

VIII. SEVERABILITY CLAUSE

If any part of this Executive Order is found invalid by a court of competent jurisdiction, the

remaining provisions shall remain in full force and effect. The provisions of this Executive Order

are severable.

IX. FILINGS

This Executive Order shall be filed with the Secretary of State. A copy of this Executive Order

shall be delivered to the Secretary of the Senate and to the Clerk of the House of Representatives

and, for the purpose of preparing a revisory bill, to the Legislative Reference Bureau.

X. EFFECTIVE DATE

Provided that neither house of the General Assembly disapproves of this Executive Order by the

record vote of a majority of the members elected, this Executive Order shall take effect 60 days

after its delivery to the General Assembly.

Issued by Governor: January 31, 2018

Filed with Secretary of State: January 31, 2018

ILLINOIS ADMINISTRATIVE CODE Issue Index - With Effective Dates

Rules acted upon in Volume 42, Issue 7 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 32 - 332 ....................... 2970 32 - 337 ....................... 2976 32 - 341 ....................... 3028 32 - 504 ....................... 3034 89 - 140 ....................... 3040 11 - 603 ....................... 3102 92 - 1030 ....................... 3113 ADOPTED RULES 11 - 1800 2/2/2018 ....................... 3126 89 - 148 1/31/2018 ....................... 3152 23 - 650 1/31/2018 ....................... 3182 44 - 500 2/16/2018 ....................... 3193 EXECUTIVE ORDERS AND PROCLAMATIONS 18 - 2 1/31/2018 ....................... 3234

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