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Full text of "1978 Annual Report-Joint Committee on Administrative Rules, Illinois General Assembly"

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in 2012 with funding from 

CARLI: Consortium of Academic and Research Libraries in Illinois 



http://archive.org/details/1978annualreport00illi 



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ILLINOIS 

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FEBRUARY 1979 






1978 
ANNUAL 
REPORT 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 
ILLINOIS GENERAL ASSEMBLY 



Submitted February 1979 
To The Members of The 81st General Assembly 



3 „» 00172 4731 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 
1978 ANNUAL REPORT 



Page 

LETTER OF TRANSMITTAL 5 

SUMMARY 7 

Activities 
Recommendations 

ORGANIZATION OF THE JOINT COMMITTEE 

Formation . 9 

Committee Members 12 

Staff Organization 13 

REVIEW OF PROPOSED RULEMAKING 

Basic Policies 15 

Statistical Summary 17 

Specific Statements of Objection Issued 25 

PROCEDURAL LEGISLATION 75 

IMPLEMENTATION OF EXISTING RULES REVIEW 77 

COMPLIANCE ACTIVITIES 83 

LEGISLATIVE RECOMMENDATIONS 

Suggested Amendments to the Illinois Administrative Procedure Act 87 

Suggested Legislation from Proposed Rulemaking Reviews 91 

Other Recommendations 217 

APPENDICES 

Appendix A: Illinois Administrative Procedure Act 225 

Appendix B: Operational Rules for Review of Proposed Rules 233 

Appendix C: Position Paper: Provision of Standards and Safeguards for 

Exercising Discretion in Agency Rules 243 

Appendix D: House Bill 15 (Public Act 80-1457) 247 

Appendix E: Opinion of the Attorney General (S-1362) Concerning the 
the Applicability of the Illinois Administrative Procedure Act to 

the Board of Trustees of the University of Illinois 253 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 

ILLINOIS GENERAL ASSEMBLY 



CHAIRMAN 
REP. HARRY "BUS" YOURELL 



FIRST VICE CHAIRMAN 
REP. JIM EDGAR 



SECOND VICE CHAIRMAN 
SEN. DAVID ... REGNER 



SECRETARY 
SEN. LARRY LEONARD 



EXECUTIVE DIRECTOR 
BRUCE A.JOHNSON 




B20 S. SECOND STREET • SUITE 100 

SPRINGFIELD, ILLINOIS 62706 

(217) 785-2294 



SENATE MEMBERS 

PRESCOTT E. BLOOM 
JACK E. BOWERS 
RICHARD M. DALEY 
JAMES H. DONNEWAL 
PHILIP J. ROCK 
RICHARD A.WALSH 

HOUSE MEMBERS 

MONROE L. FLINN 
ALAN J.GREIMAN 
LYNN MARTIN 
ROGER P. MC AULIFFI 
JOHN M. MATEJEK. JR 
JIM REILLY 



LETTER OF TRANSMITTAL 



To The Members of The 81st General Assembly: 

I am hereby submitting our first Annual Report detailing the activities of 
the Joint Committee on Administrative Rules during 1978. The report is required 
by Section 7.10 of the Illinois Administrative Procedure Act (111. Rev. Stat. 1977, 
ch. 127, par. 1007.10) and presents the "findings, conclusions and recommendations 
including suggested legislation" of the Joint Committee for the consideration of the 
General Assembly. 

I hope that the findings presented here will be of value to the legislature in 
more effectively accomplishing its task of overseeing the operations of the 
administrative agencies of the state. For too long, the legislature has been content 
to pass legislation without systematically insuring that the administrative agencies 
charged with the task of implementing that legislation are properly interpreting 
and complying with the intent of the legislation. All of us have faced difficult 
problems because of this lack of oversight. Hopefully, the Joint Committee will 
provide a means of effectively insuring agency compliance with the intent of the 
legislation we enact. 

As indicated in the statements of objection and recommendations presented 
here, the Joint Committee has uncovered areas where the statutes are unclear, 
where we have failed to provide clear and detailed statement of our intent, as well 
as areas where agencies have failed. Agency rules and regulations made under 
broad and imprecise authority are difficult to predict or control. Some of the 
suggested legislation included in this report address these areas, suggesting careful 
revisions of statutes to more fully state the intent of the legislature. 

Although this is the first year of the operation of the Joint Committee, I 
believe that much has been accomplished. The recommendations included in this 
report already indicate the value of the Joint Committee in overseeing and 
controlling regulation by state agencies. As more of the mandated tasks of the 
Joint Committee are implemented, particularly the five-year periodic evaluation of 
all state agency rules, the Joint Committee's important role in effective legislative 
oversight of state agencies should become even clearer. 



The members of the Joint Committee appreciate the cooperation of the 
numerous other members of the General Assembly who have shared their views 
with us in areas of particular concern. We trust you will continue to participate in 
this vital process as we seek to develop the Joint Committee in directions that will 
benefit the legislative process. 

Respectfully, 

Rep. Harry "Bus" Yourell 

Chairman 

Joint Committee On 

Administrative Rules 



(Ml 



SUMMARY 

Activities 

As outlined in this Annual Report, the Joint Committee on Administrative 
Rules during 1978 has sought to implement its primary responsibility for legislative 
review of proposed rulemaking as mandated by the Illinois Administrative 
Procedure Act. In implementing this responsibility, the Joint Committee has 
reviewed over 500 proposed rulemakings and issued over 70 formal statements of 
objection. Each of these statements is presented in this report. The Joint 
Committee has thus had a substantial impact on the substance of agency-made law. 
Besides this primary focus, the Joint Committee has dealt with some of the 
inevitable difficult problems of transition to a new rulemaking system, has sought 
to gain compliance of agencies with the requirements of the Illinois Administrative 
Procedure Act and has begun planning for the systematic review of existing rules 
mandated under the Act. 

Recommendations 

The Joint Committee believes that some additional changes are necessary in 
the rulemaking process to insure effective legislative input. The Joint Committee 
is developing legislation which will accomplish these important procedural changes. 
Recommended Bill One (pages 89- 90 ) is also intended to improve the rulemaking 
process by requiring rules to state as specifically as possible the standards and 
criteria used by the agency in exercising its discretion. 

Based on specific reviews of proposed rulemakings, the Joint Committee is 
also recommending 21 bills to address specific problems. These bills are presented 
in this report as Recommended Bills Two through Twenty-Two (pages 93 - 216 ). 
Many of these bills are intended to clarify the intent of the legislature in specific 
statutes and to provide clear direction to the administrative agency carrying out 
these statutes. Several of the bills provide explicit rulemaking authority to 
agencies in relation to responsibilities which seem to require such authority. In a 
broad sense, these bills are thus intended as corrective or clarifying. 

The Joint Committee is also recommending attention to agency 
appropriations in several cases and other appropriate action by other state 
officials. These recommendations are contained in the resolutions adopted by the 
Joint Committee which are presented on pages 217- 224 . 



ORGANIZATION OF THE JOINT COMMITTEE 

Formation 

The Joint Committee on Administrative Rules was established in 1977 as a 
permanent joint committee of the Illinois General Assembly through passage of 
House Bill 14 (Public Act 80-1035), which made extensive revisions in the Illinois 
Administrative Procedure Act (Illinois Revised Statutes 1977, ch. 127, par. 1001 
et. seq.). Among the basic purposes of the Joint Committee under this law are (1) 
"the promotion of adequate and proper rules by agencies and an understanding on 
the part of the public respecting such rules;" (2) "monitor and investigate 
compliance of agencies with the provisions of this Act;" (3) "make periodic 
investigations of the rule-making activities of all agencies;" and (4) "evaluate and 
report on all rules in terms of their propriety, legal adequacy, relation to statutory 
authorization, economic impact on those affected by the rule and public policy." 

The formation of the Joint Committee was a response to the growing 
recognition by the legislature of the importance and effect on the daily lives of the 
citizens of Illinois of the rules of a growing number of state administrative 
agencies. Since courts have ruled that administrative rules have "the full force and 
effect of law," the legislature also recognized the need to reassert proper 
legislative involvement in the making of law. 

Numerous other state legislatures have also moved in this direction and have 
created special committees to review administrative rules. Other states have 
authorized standing bill-processing committees to review administrative rules, or 
have authorized the legislature as a whole to disapprove proposed administrative 
rules. Approximately thirty-five states now have some form of legislative review 
of administrative rulemaking. Unlike some other legislatures, the Illinois General 
Assembly felt that the legislative involvement in administrative rulemaking should 
be advisory only to avoid improper interference in agency operations. The Act 
clearly specifies that the Joint Committee shall have "advisory powers only 
relating to its function" (Sec. 7.04(1)). 



Along with the creation of the Joint Committee, the Illinois General 
Assembly made several other significant changes in the Administrative Procedure 
Act through enactment of House Bill 14 (Public Act 80-1035). The two most 
significant of these changes involved (1) making the Act's rulemaking and hearing 
provisions applicable to all state agencies and (2) creating the Illinois Register 
published by the Secretary of State to inform the public of all rulemaking actions 
by state agencies. With these amendments, the Illinois Administrative Procedure 
Act, which was initially passed in 1975, became a truly useful instrument for 
opening up the administrative rulemaking process and insuring basic fairness in 
administrative hearings. The creation of the Joint Committee to provide 
legislative input into administrative rulemaking was an integral part of this desire 
to make the Administrative Procedure Act effective. 

The basic trend which resulted in the need for the creation of the Joint 
Committee was the increasing reliance on and power of administrative agencies to 
fulfill vital functions of the state. In fact, governmental observers have called the 
current system of administrative agencies a "fourth branch of government." In 
many ways, these agencies have obscured the traditional notion of separation of 
powers by fulfilling functions of all three traditional branches of government: 
executive, judicial and legislative. In their role of carrying out government 
programs established by statute, they fulfill a clearly executive branch function. 
The hearing processes often embodied in administrative agencies appear to involve 
such agencies in at least quasi-judicial functions, and the increasing rulemaking 
authority of such agencies is at least a quasi-legislative function. The Joint 
Committee can be usefully viewed as a legislative attempt to readjust this 
changing notion of separation of powers caused by the growing number and power 
of administrative agencies. 

A national 1978 report prepared by the Legislative Improvement and 
Modernization Committee of the National Conference of State Legislatures 
entitled Restoring the Balance described the situation as follows: 

As more agencies were created or expanded, the 
number of regulations promulgated to implement laws 
increased dramatically. In most states today, the body 
of law created by the rule-making process matches or 
exceeds the statutory laws of those states. While it was 



recognized that agency rule-making was necessary for 
the implementation of laws passed by the legislature, 
one major concern was the increasing number of 
regulations that either exceeded the statutory authority 
of the promulgating agencies or violated the legislative 
intent of the laws. (p. 7) 

This well describes the situation in Illinois. The Joint Committee in this 
context was created to provide the legislature with a systematic, advisory role in 
the rulemaking process. 

The functions of the Joint Committee under the amended Administrative 
Procedure Act can be broadly classified in two categories: (1) on-going review and 
comment functions in relation to newly proposed rulemaking actions of state 
agencies and (2) longer-term, more in-depth examination of groups of existing rules 
and the rulemaking process. The nature of these functions was clearly designed for 
the Joint Committee to effectively inform and advise the General Assembly on 
rulemaking activities. For example, Section 7.06(g) of the Act provides that when 
an agency refuses to modify or withdraw a rulemaking which the Joint Committee 
finds objectionable, the Joint Committee's appropriate action is to recommend to 
the General Assembly legislation to correct the rulemaking. This process was 
designed to insure the integrity of both the administrative rulemaking process and 
the proper legislative process of lawmaking. 



11 



Committee Members 

The Administrative Procedure Act established the Joint Committee to be 
composed of 16 members ~ 8 Representatives and 8 Senators. Four members are 
appointed by the leader of each party in each chamber (Section 7.02). The 
following members served on the Joint Committee during 1978: 



Senators 
Appointed by the President: 

Richard M . Daley 

Appointed November 1, 1977 
James H. Donnewald 

Appointed November 1, 1977 
Larry Leonard 

Appointed November 1, 1977 
Philip J. Rock 

Appointed November 1, 1977 



Representatives 
Appointed by the Speaker: 

Monroe L. Flinn 

Appointed October 18, 1977 
Alan J. Greiman 

Appointed January 24, 1978 
John M. Matejek 

Appointed October 18, 1977 
Harry "Bus" Yourell 

Appointed October 18, 1977 



Appointed by the Minority Leader: Appointed by the Minority Leader: 



Prescott E. Bloom 

Appointed October 5, 1977 
Jack Bowers 

Appointed November 2, 1977 
David J. Regner 

Appointed October 6, 1977 
Richard A. Walsh 

Appointed October 6, 1977 



Jim Edgar 

Appointed September 15, 1977 
Lynn Martin 

Appointed January 10, 1978 
Roger McAuliffe 

Appointed October 26, 1977 
Jim Reilly 

Appointed September 15, 1977 



The officers selected from the membership of the Joint Committee at the 
November 1977, organizational meeting are the following: 



Chairman: Representative Harry "Bus" Yourell 

First Vice-Chairman: Representative Jim Edgar 

Second Vice-Chairman: Senator David J. Regner 

Secretary: Senator Larry Leonard 



Staff Organization 

The Joint Committee membership selected an executive director of the 
Joint Committee at the November 1977, organizational meeting as authorized by 
Section 7.02(d) of the Administrative Procedure Act. Additional staff have been 
hired by the Joint Committee to implement the functions of the Joint Committee 
under the Administrative Procedure Act. The Joint Committee developed a 
staffing phase-in plan to accomplish a smooth transition and concentration on 
priority development of the on-going proposed rulemaking review functions. 

The following charts indicate the staff organization of the Office of the 
Joint Committee. The first indicates the functional organization of the Joint 
Committee staff into two operational sections — (1) rules review and (2) monitoring 
and compliance. These sections correspond to the basic division between the Joint 
Committee's on-going responsibility to review proposed rulemaking actions and the 
mandate of longer term, more in-depth investigation of existing agency rules. 

The second organizational chart indicates the allocation of specific staff 
positions to the sections and their supervisory relationships. The total staff size 
indicated in this chart of 18 professional and 9 clerical positions is anticipated to 
be the permanent stable size of the office to fully implement the functions 
mandated under the Administrative Procedure Act. Positions filled during the 
transitional year of 1978 include 9 professional and k clerical positions. Full 
staffing is expected by June 1979. 



13 



JOINT CfWITTEE ON ADMINISTRATIVE rcrTF.S 



FUNCTIONAL ORGANIZATION 
CHART 



executive director 



PLANNING AND DEVELOPMENTAL PPOJECTS 

LIAISON WITH SECRETARY OF STATE 

COOPERATE WITH SECRETARY OF STATE AND LEGISLATIVE 

INFORMATION SYSTEMS IN INDEXING AND CODIFICATION OF 

RULES 

DEVELOPMENT OF RECOMMENDED LEGISLATION 



OPERATIONS DIVISION 



ZD 



RULES REVIEW SECTION J 

REVIEW OF PROPOSED RULEMAKING 
REVIEW OF SPECIALIZED (FEDERAL) 

CCUKT-ORDERED, EMERGENCY) RULEMAKUG 
REVIEW NOTICES IN ILLINOIS REGISTER 

FOR COMPLIANCE WITH IAPA 
MAINTAIN AND UPDATE COMPLETE 

SET OF RULES 



COMPLIANCE & MONITORING SECTION | 

SPECIAL REVIEWS OF EXISTING RULES 
PERIODIC EVALUATION (5 YEAR) OF 

ALL STATE AGENCY RULES 
OPERATE COMPLIANCE SYSTEM IN 

COOPERATION WITH AUDITOR GENERAL 
STUDIES OF LEGISLATIVE CHANGES, COURT 

RULINGS, AND ADMINISTRATIVE ACTIONS 

CONCERNING RULES AND THE RULEMAKING 

PROCESS 



ZL 



ADMINISTRATIVE DIVISION 



PERSONNEL 

PROCUREMENT 

Ca-MITTEE ADMINISTRATION 

MAINTAIN RESOURCE LIBRARY 

PAYROLL 

GENERAL SUPPORT 



OtJNEL ORGANIZATION 
dlAKr 



J OINT COMMITTEE ON ADMINISTRATIVE RULES 

i z 



ASSISTANT DIRECTOR 



OPERATIONS DIVISION 



RULES REVIEW SECTION _ 
^UtES REVIEW MANAGER 



RULES ANALYST I 



r'JLES ANALYST I 



STAFF ATTORNEY II 



COLLEGE INTERN 



COLLEGE INTERN 



SECRETARY I 



CLERK TYPIST III 



EXECUTIVE DIRECTOR 



SECRETARY II 



COMPLIANCE _i MCNTORING SECTION _ 
COMPLIANCE i MONITORING MANAGER 



STAFF ATTORNEY II 



STAFF ATTORNEY I 



RULES ANALYST II | 1 CLERK TYPIST III 



RULES ANALYST 



fUlES ANALYST I 



STAFF ATTORNEY I 



RULES ANALYST I 



VUIES ANALYST 



ADMINISTRATIVE DIVlSIO^ ^ 
'aDMINISTRATIV'E SERVICES MANAGER 



CLERK TYPIST III ) 



CLERK TYPIST III 



REVIEW OF PROPOSED RULEMAKING 

Basic Policies 

The Joint Committee has viewed the review of proposed rulemaking as its 
major priority during 1978. Each of the almost 500 rulemaking proposals has been 
reviewed by the Joint Committee staff and presented to the Joint Committee. 
Although the rulemaking proposals differ widely from simple changes in a few 
sentences, and repeals of outdated rules to hundreds of pages of new complex state 
regulations, this figure indicates something of the tremendous workload involved. 

The Joint Committee has reviewed rules primarily for their compliance with 
the statutory authority of the agency and the legislative intent of the authorizing 
statute. Other considerations, such as vague wording of rules and lack of adequate 
standards stated in the rules, have also been major issues of concern to members of 
the Joint Committee in their review of proposed rules. Attempting to streamline 
the rules, eliminating unnecessary regulations, as well as insuring that the rules 
fully state the agency's basic policies have both been major goals of the Joint 
Committee's review. 

In order to systematize the review of proposed rulemaking, the Joint 

Committee also developed and proposed a comprehensive set of operational rules. 

These proposed rules are included in this annual report as Appendix B. Most 

important in these rules is Section 1.2.06, which presents the primary basis for the 

Joint Committee's review. It states, 

The Joint Committee will give major consideration to the following criteria 
in reviewing proposed rulemaking: 

1. Legal authority for the proposed rulemaking. 

2. Compliance of the proposed rulemaking with legislative intent. 

3. Compliance with state and federal constitutional requirements 
and other law. 

4. The proposing agency's statement of justification and rationale 
for the proposed rulemaking. 

5. Anticipated economic effect of the proposed rulemaking on the 
public and the agency's budget. 

6. Clarity of the language of the proposed rulemaking for under- 
standing by the affected public. 

7. Sufficient completeness and clarity to insure meaningful 
guidelines and standards in the exercise of agency discretion. 

8. Redundancies, grammatical deficiencies and technical errors in 
the proposed rulemaking. 

9. Compliance of the agency with the requirements of the Illinois 
Administrative Procedure Act and responsiveness to public 
submissions regarding proposed rulemaking, (page 237) 



15 



These criteria provide the basis on which the Joint Committee reviews each 
proposed rulemaking and may object to the rulemaking. The criteria represent the 
Joint Committee's interpretation of their review responsibilities under the Illinois 
Administrative Procedure Act. Of course, it should be remembered that the Joint 
Committee's review powers are purely advisory and the Joint Committee cannot 
compel an agency to modify any proposed rulemaking. Therefore, these criteria 
serve primarily as basic guidelines for the Joint Committee's review. 

One of the particular issues which has been uncovered in the course of 
reviewing rules has been the frequent failure of agencies to adequately state the 
basis on which determinations will be made or action will be taken by the agency. 
This lack of standards and criteria prompted the Joint Committee to prepare a 
position paper on this issue and distribute it to all state agencies. This position 
paper was adopted by the Joint Committee on October 19, 1978, and appears as 
Appendix C in this annual report. The paper states the reasons that standards and 
criteria must be stated in agency rules, delineating three basic reasons, (1) "the 
prevention of arbitrary action by the agency," (2) "to inform the public of the 
agency's policy in regard to its exercise of discretion," and (3) "to provide a specific 
basis for appeal of agency determinations to judically insure agency compliance 
with its established standards." (page 2kk) 

This review of proposed rulemaking has resulted in numerous changes in 
agency rules. Agencies have agreed to make numerous necessary changes based on 
suggestions by the Joint Committee staff, but further changes have also been made 
in rules as a result of a formal statement of objection by the Joint Committee. In 
areas where agencies have failed to make necessary changes in rules to which the 
Joint Committee has objected, the Joint Committee is proposing specific remedial 
legislation as authorized by the Illinois Administrative Procedure Act. Such review 
has also uncovered areas where the authorizing legislation was inadequate to 
clearly express the legislative intent or guide the agency sufficiently in the 
proposal of implementing rules. In these areas, the Joint Committee has also 
recommended remedial legislation. 



Statistical Summary 

The following tables summarize the number of rulemakings by Illinois 
agencies during 1978 and the results of review by the Joint Committee of proposed 
rulemakings. Although any statistical summary is subject to qualifications, this 
summary does generally indicate the extent of rulemaking and the fact that the 
Joint Committee has had a substantial impact during 1978 on this rulemaking 
activity. The most important qualification of this summary is that each rulemaking 
is viewed as a unit, although they differ widely in length, complexity, nature and 
importance. A rulemaking may vary from a simple amendment changing a few 
words in an agency's rules to hundreds of pages of new regulations. The sheer 
number of rulemakings presented here may therefore be somewhat misleading in 
some cases. 

Table One presents the number of proposed, emergency and federal or court 
ordered rulemakings by agency. The Joint Committee has not reviewed emergency, 
or federal or court ordered rules, but these figures do indicate a substantial use of 
these rulemaking provisions by state agencies. Emergency rulemakings add up to 
more than one-fourth the number of normal rulemakings indicating the frequent use 
of this provision authorized by Section 5(b) of the Illinois Administrative Procedure 
Act. Several suggestions have been made for Joint Committee examination of at 
least the nature of the emergencies necessitating use of this provision. The Act is 
specific in requiring that to use this provision an agency must find that an 
emergency exists which both (1) reasonably constitutes "a threat to the public 
interest, safety or welfare" and (2) "requires adoption of a rule upon fewer than 45 
days' notice." Similarly, use of the federal or court ordered provision requires that 
the order be "under conditions which preclude the agency's compliance with the 
notice or hearing requirement of this Act." It is unclear how strictly agencies are 
interpreting or following these requirements. 

The most obvious indication from Table One is the actual amount of 
rulemaking undertaken by state agencies. Adding all three types of rulemaking, 
over 650 rulemakings actions were taken by state agencies during 1978. Of these, 
the Joint Committee reviewed each of the over 500 normal proposed rulemakings. 
This indicates a substantial workload for the Joint Committee members and staff. 



17 



The basic results and effects of the Joint Committee review are presented 
statistically in Table Two. This table shows that of the total of more than 500 
proposed rulemakings reviewed by the Joint Committee, serious problems were 
discovered by the Joint Committee staff in over 35% of the rulemakings. Most of 
these problems were resolved through informal discussions at the staff level with 
the proposing agencies. Agencies were anxious to respond to most of the problems 
discovered by the Joint Committee staff and agreed to make appropriate changes 
and corrections in most cases. The Joint Committee formally issued a total of 72 
statements of objection to proposed rulemakings during 1978. These amount to less 
than 15% of the total number of proposed rulemakings and less than 40% of those 
rulemakings where Joint Committee staff review had discovered serious problems. 
This further indicates both the desire of agencies to change rules to correct serious 
problems and also the extent of those issues where serious problems were 
unresolved without formal Joint Committee action. The final column of Table Two 
indicates the nature of responses by agencies to statements of objection. This 
column is incomplete due to the time delay involved in formal agency responses. 
These figures indicate that even when formal Joint Committee objection was 
required agencies modified or withdrew proposed rulemakings in the majority of 
instances. 

Table Three presents a breakdown of the statements of objection and the 
nature of the agency responses by agency. The agencies are presented in the same 
order as in Table One. This table indicates that the agencies which have responded 
least favorably to the objections by the Joint Committee have been the 
Department of Public Aid and the Department of Public Health. These agencies 
are also among the most active rulemaking agencies as indicated in Table One. The 
figures in Table Three also elaborate the general pattern of favorable responses of 
most agencies to Joint Committee objections shown by Table Two. 

The final table (Table Four) presents a summary by quarter of the number of 
Joint Committee objections and the nature of responses by agencies. The figures 
shown the phasing-in character of the Joint Committee's activities by the 
increasing number of objections due to more thorough review of rules as more staff 
became available. It is unclear, however, whether the apparant increasing 
favorableness over the year of agency responses is a general trend because of the 



large number of pending responses. Pending responses are simply instances where 
the agency has not yet had time to respond. 



19 



TABLE ONE: STATISTICAL SUMMARY OF RULEMAKINGS BY AGENCY 









Federal & 








Court- 


Code Departments 


Proposed 


Emergency 


Ordered 


Administrative Services 


1 






Aging 


5 


4 




Agriculture 


14 


1 




Children & Family Services 


2 






Conservation 


76 


17 




Corrections 


82 


21 


9 


Financial Institutions 


I 






Insurance 


15 


1 




Labor 


5 






Law Enforcement 


2 


1 




Local Government Affairs 


i 


1 




Mental Health & Developmental 








Disabilities 


8 






Mines and Minerals 


4 


3 




Personnel 


10 


9 




Public Aid 


46 


19 


12 


Public Health 


42 


12 




Registration and Education 


11 


3 




Revenue 


11 






Transportation 


13 


1 


1 


Veterans* Affairs 


1 






Constitutional Offices 








Attorney General 


3 






Auditor General 


7 






Comptroller 


1 






Office of Education 


3 


2 


2 


Secretary of State 


15 


3 




Treasurer/Comptroller 


1 






Legislative Agencies 








Joint Committee on Administrative 








Rules 


3 


1 




Legislative Information System 


1 


1 




Legislative Travel Control Board 


1 


1 




House of Representatives 


1 






Miscellaneous Agencies 








Building Authority 


1 






Capital Development Board 


2 






Commerce Commission 


17 


1 




Criminal Justice Information 








Council 


1 






Dangerous Drugs Commission 


14 






Board of Elections 


6 


3 





Code Departments 



Proposed 



Environmental Protection 




Agency 


7 


Board of Ethics 


2 


Fair Employment Practices 




Commission 


2 


State Fire Marshall 


1 


Governor's Office of Manpower 




and Human Development 


2 


Governor's Purchased Care 




Review Board 


1 


Health Facilities Authority 


5 


Industrial Commission 


k 


Law Enforcement Commission 


1 


Law Enforcement Merit Board 


2 


Liquor Control Commission 


2 


Institute of Natural Resources 




Pollution Control Board 


18 


Prisoner Review Board 


2 


Racing Board 


10 


Savings and Loan Commissioner 


3 


State Employees Retirement 




System 


2 


State's Attorneys Appellate 




Service Commission 


i 


Statewide Health Coordinating 




Council 


4 


Teachers Retirement System 


2 


Vocational Rehabilitation 


1 


Universities 





State Scholarship Commission 1 

Universities Civil Service System 2 

Universities Retirement System 1 



Emergency 



Federal & 
Court- 
Ordered 



Total: 



507 



133 



21 



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TABLE THREE: STATISTICAL SUMMARY OF STATEMENTS 
OF OBJECTION BY AGENCY 



Nature of Response 





Number of 










Statements of 








Responses 


Code Departments 


Objection 


Withdraw 


Modify 


Refusal 


Pending 


Administrative Services 


1 




1 






Agriculture 


1 


1 








Child & Family Services 


1 






1 




Conservation 


2 


1 


1 






Corrections 


2 




1 




1 


Insurance 


4 




1 


2 


1 


Mental Health 


3 




3 






Personnel 


1 




1 






Public Aid 


9 


2 


1 


5 


1 


Public Health 


14 


1 


7 


5 


1 


Registration & Education 


2 


I 


1 






Revenue 


k 


1 




3 




Transportation 


1 




1 






Veterans' Affairs 


1 




1 






Constitutional Offices 












Attorney General 


1 






1 




Secretary of State 


1 




1 






Other Agencies 












Capital Development Board 


1 






1 




Commerce Commission 


4 




2 




2 


Dangerous Drugs Commission 








1 


Board of Elections 


1 




1 






Environmental Protection 












Agency 


3 


i 




1 


1 


Board of Ethics 


1 




1 






Governor's Office of 












Manpower 


2 






2 




Industrial Commission 


1 








1 


Law Enforcement Commission 1 




1 






Law Enforcement Merit 












Board 


2 


1 






1 


Liquor Control Commission 


1 








1 


Pollution Control Board 


1 


1 








Prisoner Review Board 


1 








1 


Racing Board 


2 








2 


State Scholarship Comm. 


1 




1 






Vocational Rehabilitation 


1 






1 




Total: 


72 


10 


26 


22 


14 



23 



TABLE FOUR: STATISTICAL SUMMARY OF STATEMENTS OF OBJECTION 
ISSUED BY JCAR BY QUARTER DURING 1978 



Nature of Response 





Number of 

Statements of 

Objection 


Withdraw 


Modify 


Refusal 


Responses 
Pending 


anuary - March 


14 


3 


5 


6 





vpril - June 


19 


1 


8 


10 





uly - September 


19 


5 


10 


4 






>ctober - December 



20 



14 



Total: 



72 



10 



26 



22 



14 



Specific Statements of Objection Issued 

During 1978, the Joint Committee issued 72 formal statements of objection 
to proposed rulemakings by state agencies. This section presents each of these 
statements of objection, the specific objections of the Joint Committee, and nature 
of the response by the agency. The statements of objection are presented by 
agency in the same order as Table Two. 

CODE DEPARTMENTS 

Department of Administrative Services 

Travel Regulations 

Initial Publication in Illinois Register: May 26, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: Proposed Rule 2.6.05 which reads: 

Honoraria: 

Any State officer appointed pursuant to the provisions of the 
Civil Administrative Code who receives an honorarium, a 
fee, or any other form of monetary compensation for a 
speech, an article or any other form of public utterance 
shall remit such compensation to the State Treasurer for 
deposit in the General Revenue Fund. Other State personnel 
who receive honoraria or fees for speeches or articles which 
are accomplished on their own time are not required to 
remit the honoraria to the State Treasury. 

The Joint Committee objects to this proposed rule because 
it exceeds the statutory authority of the Department. Such 
a policy may in fact be desirable; however, Section 12-2 of 
An Act in Relation to State Finance, Ill.Rev.Stat.1977, 
ch. 127, par. 148-2, authorizes the Department only to 
prescribe rates for reimbursements made to State employees 
under the jurisdiction of the Governor's Travel Control 
Board for travel expenses incurred while on official business 
for the State. 

Date Agency Response Received: July 10, 1978 

Nature of Agency Response: Modified 

Department of Agriculture 

Repeal of Swine Movement Limitations, Regs. IX and XXII 



Initial Publication in Illinois Register: August 25, 1978 

Joint Committee Objection: September 18, 1978 

Specific Objections: 

The primary goal of these repealers is the elimination of 
restriction on movement of feeder swine through various 
markets. The Department has indicated that such restric- 
tions were imposed to prevent the spread of certain 
contagious hog diseases, and have been successful in that 
respect. The Department further indicates it will oppose 
these repealers at formal public hearings to be held in 
October. 

The Joint Committee objects to these proposed repealers of 
Regulations IX and XXII because these repealers are 
contrary to the legislative intent of the Livestock Auction 
Market Law to provide for regulation of livestock auction 
markets so as to protect the health of livestock and humans. 

Date Agency response Received: October 16, 1978 

Nature of Agency Response: Withdrawn 

Department of Children and Family Services 

Safeguarding Personal Information in Case Files 

Initial Publication in Illinois Register: April 14, 1978 

Joint Committee Objection: May 15, 1978 

Specific Objections: 

1) Proposed Section 4(c), which reads: 

"Person served by the Department" means any 
person who receives services or applies for 
services from the Department through its various 
offices, facilities, institutions and programs. 
The term includes persons who are subject to 
licensing by the Department and persons who 
involuntarily receive protective services from 
the Department." (Emphasis added) 

The Joint Committee objects to this proposed Section 
because the Department exceeds the authority conferred 
upon it by the General Assembly by including within the 
scope of the proposed rules persons who are subject to 
licensing by the Department, or who apply for services. 



26 



2) Proposed Section 5(a) (1), which reads: 

"Departmental employees may release personal 
information to State's Attorneys, the Attorney 
General, Municipal and Sheriff's police when in 
the discretion of the employee , the information 
will benefit the interests of a child or family 
served by the Department; will further the 
statutory purpose of the Department or is 
necessary for the Administration of programs of 
the Department." (Emphasis added) 

The Joint Committee objects to this proposed Section 
because it does not set forth sufficient criteria to guide 
Department employees in the exercise of their discretion. 

3) Proposed Section 5(d) which reads, in part: 

"The Department, in disclosing personal informa- 
tion, shall take reasonable precautions to assure 
that (1) the persons receiving the information 
recognize the confidential nature of the informa- 
tion; (2) the information will not be further 
released except as is necessary for the proper 
delivery of the services; and (3) the information 
released will be limited to that information 
which is necessary to properly provide the 
service." (Emphasis added) 

The Joint Committee objects to this proposed Section 
because the phrase "reasonable precautions" is so vague as 
to be useless in describing the policy the Department intends 
to implement to protect the privacy of individuals. 

4) Proposed Section 8 which reads, in part: 

"Records of the Department may not be removed 
from the Department facilities or photocopied 
without permission of the Director, guardianship 
administrator, the appropriate Regional 
Director, or an Institution Administrator." 

The Joint Committee objects to this proposed Section 
because of the lack of criteria to be used to determine when 
permission will be given to photocopy or remove records 
from the Department facilities. 

Date Agency Response Received: August 17, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Three, 
pages 99 - 102 )• 



27 



Department of Conservation 

Amendments to Article XX 

Initial Publication in Illinois Register: April 28, 1978 

Joint Committee Objection: May 15, 1978 

Specific Objections: 

The "Notice of Proposed Amendment" filed by the Depart- 
ment and published in the Illinois Register by the Secretary 
of State cites as statutory authority for the proposed 
rulemaking "...Illinois Revised Statutes, Chapters 38, 56, 
56J4, 57Y2, 61, 95J4, 105 and 127." 

The Joint Committee objects to this proposed Amendment 
because Section 5(a) (1) of the Illinois Administrative 
Procedure Act, Ill.Rev.Stat.l977,ch.l27,par.l005(a) (1), 
requires notices of proposed rulemaking to include "the 
specific statutory citation upon which the proposed (rule- 
making) is based and is authorized." Section 5(c) provides: 
"No action by any agency to adopt, amend or repeal a 
rule.. .shall be valid unless taken in compliance with this 
Section." The Joint Committee believes that the action of 
the Department of Conservation to amend this rule does not 
comply with Section 5 of the Illinois Administrative 
Procedure Act. 

Date Agency Response Received: June 1, 1978 

Nature of Agency Response: Withdrawn 

Article CXLII: Land and Water Conservation Fund 

Initial Publication in Illinois Register: August 11, 1978 

Joint Committee Objection: September 18, 1978 

Specific Objections: 

The Joint Committee objects to this proposed new rule 
because it does not include any provision stating that the 
federal funds administered by the Department under the 
Federal Land and Water Conservation Fund program will be 
expended in accordance with all applicable state statutes. 

Date Agency Response Received: October 30, 1978 

Nature of Agency Response: Modified 



28 



Department of Corrections 

Juvenile Division Administrative Regulation; Youth Allowances 

Initial Publication in Illinois Register: July 14, 1978 

Joint Committee Objection: August 23, 1978 

Specific Objections: 

The Joint Committee objects to this proposed rule because 
it lacks adequate specificity in delineating the procedures to 
be followed and the standards to be used in making 
necessary determinations in carrying out the functions of 
the Department in this area. Since the Department must 
have a policy embodying meaningful standards and adequate 
procedural safeguards to protect against arbitrary action 
and unequal and unfair treatment of youths in the admini- 
stration of this program, the rule does not fully state the 
Department's policy. Section 4(c) of the Illinois Administra- 
tive Procedure Act requires that each agency statement of 
policy must be adopted pursuant to the Act to be effective 
or invoked by the agency. 

Date Agency Response Received: October 3, 1978 

Nature of Agency Response: Modified 

Adult Division Administrative Regulation: Residents' Personal Property 

Initial Publication in Illinois Register: October 27, 1978 

Joint Committee Objection: November 14, 1978 

Specific Objections: 

Rule 856, IIBI which states, in part, that "(a)ll sheriffs shall 
be supplied with a list of approved personal property items" 
belonging to new admissions, which may be stored by the 
Department. 

The Joint Committee objects to this proposed Rule 856 IIBI 
because it fails to set forth adequate standards to govern 
the Department's exercise of discretion with regard to the 
approval of residents' personal property. The policy of the 
Department in this area constitutes a "rule" as the term is 
defined in the Illinois Administrative Procedure Act. Under 
Section 4(c) of the Act, Ill.Rev.Stat.1977, 
ch. 127, par. 1004(c), "(n)o agency rule is valid or effective 
against any person or party, nor may it be invoked by the 
agency for any purpose, until it has been made available for 
public inspection and filed with the Secretary of State as 
required by this Act." 



29 



Date Agency Response Received: Response Pending 

Department of Insurance 

Religious and Charitable Risk Pooling Trust Rule 56.01 

Initial Publication in Illinois Register: January 13, 1978 

Joint Committee Objection: February 21, 1978 

Specific Objections: 

Proposed Rule 56.01, Section 2(B)(3) which reads: 
B. The Trust instrument shall be in writing and shall be 
executed and in addition to the requirements contained 
in the Act shall contain provisions addressing the 
following: 

3. A requirement that all beneficiaries be residents 
of the State of Illinois and have their operations 
confined solely to Illinois. It is the specific 
intention of this requirement to restrict the use 
of the Act only to charities and religious entities 
located and operating exclusively in the State of 
Illinois. 

The Joint Committee objects to this provision because 
Public Act 80-530 does not, either by express terms or by 
legislative intent, authorize the Department to impose such 
a restrictive requirement on trust beneficiaries. Section k 
of the Act requires only that a beneficiary be incorporated 
in Illinois or possess a Certificate of Authority from the 
Secretary of State. 

Date Agency Response Received: May 24, 1978 

Nature of Agency Response: Modified 

Rule 22.01: Pension Examination and Compliance Procedure 

Initial Publication in Illinois Register: March 3, 1978 

Joint Committee Objection: March 23, 1978 

Specific Objections: 

1. The Proposed Rule was published in the March 3, 1978, 
issue of the Illinois Register. Persons wishing to 
comment on the Proposed Rule at the hearing were 
required to so notify the Director by March 15, 1978, 
twelve days after publication. Section 5(a)(2) of the 
IAPA requires an agency to accept comments from 
interested persons who submit requests to comment 
within m days of publication. It appears that Proposed 



30 



Rule 22.01 has been published in violation of the notice 
provisions of the IAPA, and the action of the Depart- 
ment to adopt this rule will not be valid. 

2. Section 3D(3) of Proposed Rule 22.01, which reads as 
follows: 

Section 3. Examinations. 



D. The procedure to be followed for 
compliance, where necessary: 



3. The Director as the result of the 
hearing shall order compliance within 
30 days of his Order in those areas 
found not to be in compliance and 
failure to comply within the 30 day 
time period may subject the fund or 
system to a fine. 

The Joint Committee objects to this section because it does 
not contain criteria to be used by the Director in deciding 
whether or not to levy a fine for non-compliance. 

3. Proposed Rule 22.01, based on authority granted by 
P.A. 80-906, puts into the form of a rule pertaining 
only to smaller local funds and systems the require- 
ments contained in Ill.Rev.Stat.l977,ch.l08K 2 ,par.22- 
502. This latter section pertains to all government 
employee pension, annuity and retirement funds or 
systems. The Joint Committee doubts that the intent 
of the General Assembly in enacting P.A. 80-906 was 
simply to authorize the Department to enact rules 
implementing par. 22-502 only as to some and not all 
of the funds covered by par. 22-502. Rather, it was 
obviously the legislative intent by P.A. 80-906 to 
enable the Department to deal by rule with problems 
peculiar to those smaller local funds and systems. 

Date Agency Response Received: June 15, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Five, 
pages 109-113 )• 



31 



Rule 20.07; Minimum Standards of Individual Accident and Health 
Insurance 

Initial Publication in Illinois Register: March 2k, 1978 

Joint Committee Objection: April 18, 1978 

Specific Objections: 

1) Section 6 E of the proposed rule reads in part: 

"No policy shall limit or exclude coverage by 
type of illness, accident, treatment or medical 
condition, except as follows or as may be 
approved by the Director from time to time:" 

The Joint Committee objects to this proposed paragraph 6 E 
because it fails to contain any criteria or standards 
delimiting the authority of the Director in approving 
exceptions to the rule. Such failure renders the rule vague 
and subject to arbitrary exercise of discretion. Moreover, 
exceptions approved by the Director under this paragraph 
could constitute rulemaking by ..he Director in violation of 
the notice, publication and legislative review provisions of 
the Illinois Administrative Procedure Act. 

2) Section 6 F of the proposed rule reads in part: 

"No provision of this rule shall prohibit the use of 
any policy provision which is required or 
permitted by statute." 

The Joint Committee objects to this proposed paragraph 6 F 
because it appears to sanction retention of rules in conflict 
with applicable statutes. 

Date Agency Response Received: July 10, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Six, 
pages 115- 122 ). 



Department of Mental Health and Developmental Disabilities 
Rule 100.2-1: Procedures for Handling of Funds 

Initial Publication in Illinois Register: May 5, 1978 
Joint Committee Objection: June 16, 1978 



32 



Specific Objections: 

Section C. which reads in part: 

"To the extend practical, purchases of supplies and 
equipment from this Fund shall be in accordance with 
the Illinois Purchasing Act, as amended 
(Ill.Rev.Stat.1977, ch. 127, 132.1 et.seq.) ." 

The Joint Committee objects to this proposed amendment 
because it is contrary to the principle of competitive bidding 
and economical procurement practices through centralized 
purchasing which is public policy established by the Illinois 
Purchasing Act. While the Department has agreed to change 
the language of Section C. to reference the Department's 
Purchasing Rule adopted pursuant to Section 5 of the Illinois 
Purchasing Act (Ul.Rev.Stat.l977,ch.l27,par.l32.5), the 
language "To the extent practical" has not been deleted. 
This phrase is contrary to the public policy established in the 
Illinois Purchasing Act and is in violation of Section 5 of the 
same Act. 

Date Agency Response Received: August 18, 1978 

Nature of Agency Response: Modified 

Amendments to Rule 100.4-1 

Initial Publication in Illinois Register: May 5, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 

1) Section D.l of the proposed rule provides that viola- 
tions of the rule, which can include that sale or gift of 
drugs, narcotics and marijuana, shall be reported to 
the superintendent "who shall take appropriate action". 
These latter words apear to give the superintendent a 
discretionary power to act without regard to the 
requirements of law in relation to criminal offenses. 

2) Section D.2 of the proposed rule prohibits firearms on 
facility grounds "without prior written permission" of 
the superintendent. No standards for granting such 
permission are given, and no authority for granting 
such permission is cited. 

The Joint Committee objects to Sections D.l and D.2 of the 
proposed amendment to Rule 100.4-1 because they are 
unconstitutionally vague and in violation of "An Act 
codifying the powers and duties of the Department of 
Mental Health and Developmental Disabilities", approved 
August 2, 1961, as amended (Ch.191/2, par.100-7, 
Ill.Rev.Stat). 



33 



In addition, the Joint Committee objects to Section D.2 of 
the proposed amendment to Rule 100.4-1 as being contrary 
to legislative intent in its implication that lethal firearms 
could ever be authorized on facility grounds except as 
allowed by law with respect to law enforcement officers. 
The Joint Committee suggests that Section D.2 be rewritten 
by deleting everything after "facility grounds" in the first 
sentence. 

Date Agency Response Received: September 1, 1978 

Nature of Agency Response: Modified 

Rule 100.34.1: Grants for Construction of Community Mental Health 
Centers 

Initial Publication in Illinois Register: May 12, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 

Proposed Section B.3, which reads in part: 

The amount of the grant shall be determined by the current 
priority ranking in the state plans for construction under 
Public Law 88-164, P.L. 94-63, or similar subsequent Acts. 

The Joint Committee objects to this proposed rule because 
the priority ranking and method of determining that ranking 
constitute "rules" as that term is defined in the Illinois 
Administrative Procedure Act. Although the state plan 
which contains these rules is referred to in proposed Section 
B.3, the rules are not currently on file with the Secretary of 
State. Under Section 4(c) of the IAPA, it is unlawful for any 
agency to invoke such rules for any purpose. Since proposed 
Section B.3 invokes these unpublished rules, it violates the 
IAPA. 

Date Agency Response Received: September 1, 1978 

Nature of Agency Response: Modified 

Department of Personnel 

Amendments to the Pay Plan 

Initial Publication in Illinois Register: June 16, 1978 
Joint Committee Objection: July 26, 1978 
Specific Objections: 



^ 



Proposed Part V, Section M.C.5.3.00 which states, in part: 

"Any deviation from the approved policy and proce- 
dures set out in this plan must have prior approval of 
the Director of Personnel." 

The Joint Committee objects to this proposed Section 
because it does not contain any criteria, general or specific, 
which the Director will consider in deciding whether to 
approve deviations from the plan. To be valid and effective, 
such policy must be promulgated in accordance with the 
provisions of the Illinois Administrative Procedure Act. 

Date Agency Response Received: October 20, 1978 

Nature of Agency Response: Withdrawn 



Department of Public Aid 

Rate Schedules for SNF/PED Payment 

Initial Publication in Illinois Register: February 3, 1978 

Joint Committee Objection: February 21, 1978 

Specific Objections: 

Rule 4.14, within which the proposed rate schedules are to 
be included consists of eight pages of text and two sub- 
stantive attachments totalling sixty-five pages. The fact 
that the Rule is not internally subdivided and numbered in a 
systematic way makes discussion of, and citation to, specific 
provisions difficult, if not impossible. This defeats the 
purpose of requiring agencies to publish their rules so that 
those affected by such rules may understand what is 
required of them by the agency. 

Date Agency Response Received: May 23, 1978 

Nature of Agency Response: Withdrawn 

Rule for Medical Vendor Administrative Proceedings 

Initial Publication in Illinois Register: January 13, 1978 

Joint Committee Objection: February 21, 1978 

Specific Objections: 

1. Proposed Rule 4.14(3) which reads in part: 
4.41 Denial of Application 

The Department may deny an application submitted by 
a vendor that has been previously terminated, barred 
or denied participation if... 



35 



(3) the Department determines, after 
reviewing the activities which served as 
the basis for the earlier termination or 
barring, that the application should not be 
approved. 

At the 3oint Committee meeting on February 21, 1978, the 
Department stated that decisions to deny applications of 
vendors that have been previously terminated would be made 
on a case by case basis, considering factors such as length of 
time since termination, corrective measures taken, etc. The 
Joint Committee does not question the authority of the 
Department to promulgate such a rule; however, the basis 
for determination set forth above is a policy statement 
which must be set forth in the Proposed Rule. 

2. Proposed Rule 4.51 which reads in part: 
4.51 Recovery of Money 

The Department may recover money improperly or 
erroneously paid, or overpayments, either by setoff, 
crediting against future billings or by requiring direct 
repayment. These actions may be requiring direct 
repayment. These actions may be taken whenever the 
Department determines that a vendor may have 
submitted bills in a manner not consistent with 
Department policy, or if it determines that a vendor 
may have received payment to which he may not have 
been properly entitled. 

The Proposed Rule appears to authorize recovery of 
allegedly improper or erroneous payments prior to any 
opportunity for the vendor to request a hearing to contest 
the Department's determination. 

3. Proposed Rule 4.61 which reads in part: 

4.61 Termination 

The Department may terminate a vendor's elibigility 
to participate in the Medical Assistance Program if it 
determines that, at any time prior or subsequent to the 
effective date of these Rules: 



Section 12-4.26 of Public Act 80-2nd S.S.-2 expressly limits 
termination for a vendor's past conduct to instances "where 
the vendor had actual or constructive knowledge of the 
requirements which applied to his conduct or activities." By 
omitting this from the Proposed Rule, the Department 
appears to be exceeding its statutory authority. 



36 



4. Proposed Rule 4.6 l(j) which reads: 
4.61 Termination 

(j) Conviction in this or any other State of any 
crime not related to the Medical 
Assistance Program which is a felony, 
under the laws of that State, or conviction 
in a federal court of any crime not related 
to the Medical Assistance Program which is 
a felony, if the Department determines 
after investigation, that the vendor's 
continued participation would not be in the 
public interest. 

There are no criteria set forth in the Proposed Rule which 
would indicate what criteria will be used to determine 
whether continued participation in the program is not in the 
"public interest." 

5. Proposed Rule 4.65 which reads in part: 

4.65 Withholding of Payments During Pendency of 
proceeding Payments on pending and 
subsequently submitted bills may be withheld 
during the pendency of the administrative 
proceeding.... 

Again, at the Joint Committee meeting the Department 
explained precisely the circumstances under which payments 
would or would not be withheld. Such policy statements 
must be expressed as a Rule. 

6. Proposed Rule 4.93 which reads: 
4.93 Repeal of Prior Rules 

These rules shall become effective immediately upon 
filing a certified copy thereof with the Secretary of 
State of the State of Illinois as provided by the 
statutues of the State of Illinois in such cases made 
and provided, and shall supersede all other rules and 
regulations covering subject matter embraced in these 
rules. 

The Joint Committee realizes that these Proposed Rules are 
identical in every respect to the Emergency Rules previously 
filed by the Department covering this subject. However, as 
a Proposed Rule, 4.93 is contrary to Section 6(c) of the 
Illinois Administrative Procedure Act, as amended, which 
provides that rules are effective ten days after filing with 
the Secretary of State. Also, it is apparently the intent of 
the Department to repeal the Emergency Rules to be 
replaced by these Proposed Rules. This should be done by 
express language. 



37 



7. The term "management responsibility" wherever it 
appears in the Proposed Rules. 

This term, which also appears throughout Public Act 802nd 
S.S.-2, is nowhere defined in the Proposed Rules. The 
Legislature has established a general policy, and has 
delegated to the Department the responsibility and authority 
to implement that policy through rules based upon the 
Department's experience and expertise. By leaving the 
definition of "management responsibility" to the courts, the 
Department is not carrying out its responsibility as dele- 
gated by the Legislature. 

Date Agency Response Received: May 16, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Eight, 
pages 127-134 )• 

Rule 3.55: Lost and Stolen Warrants 

Initial Publication in Illinois Register: April 21, 1978 

Joint Committee Objection: May 15, 1978 

Specific Objections: 

The Joint Committee objects to Proposed Rule 3.55 which 
reads, in part: 

"In the event the missing warrant is actually received 
and cashed by the client, and a replacement warrant 
has been issued, the Department, pursuant to the 
terms of the recovery agreement, shall deduct the 
amount of the replacement warrant and any assistance 
issued to meet immediate need from future assistance 
payments." 

The Joint Committee objects to this proposed amendment 
because the policy of the Department in determining the 
manner and amount by which future assistance warrants will 
be reduced to recovery excess assistance is a rule within the 
definition of that term in the Illinois Administrative 
Procedure Act. Section 4 of the Act provides that no rule 
may be invoked by an agency until it has been made 
available for public inspection. Since this policy under 
which the Department is currently operating is not available 
for public inspection, the Department is in violation of the 
IAPA. 

Date Agency Response Received: July 24, 1978 

Nature of Agency Response: Modified 



38 



Amendments to Rules 3.06 and 7.07: Composition, Caretaker- 
Assistance Unit 

Initial Publication in Illinois Register: May 19, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 

Rule 3.06, Persons Who May Be Included in the Assistance 
Unit, which reads in part: 

The eligibility of a child in an assistance unit depends on 
that child's lack of parental support or care. All eligible 
individuals in a household shall be included in a single case, 
except in two-parent households where there are children of 
differing parentage, some of whom lack parental support or 
care because of the unemployment of their father. 

Rule 7.07, Caretaker Relative, which reads in part: 

Every. ..case shall have one person designated as the care- 
taker relative.. .No person shall serve as caretaker relative 
for more than one AFDC grant case at the same time, 
except for an AFDC-U father whose child's eligibility is 
based on the lack of parental support or care of that child's 
mother. 

The Joint Committee objects to these proposed amendments 
because under Section 4-1.3 of the Public Aid Code, the 
unemployment of the parent or parents , rather than the 
unemployment of the father only, is a condition for a finding 
that a child is "dependent". The Department has no 
statutory authority to so limit eligibility. 

Date Agency Response Received: July 14, 1978 

Nature of Agency Response: Refusal 

The Joint Committee has adopted a resolution in response to this 
rulemaking urging appropriate action by the Department and 
federal officials (see pages 222 - 223 ). 

Rule 3.96: Replacement of Food Stamps 

Initial Publication in Illinois Register: May 19, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 



39 



1) The "Notice of Proposed Rulemaking" does not reveal 
any federal or State statutory or regulatory authority 
to replace food stamp benefits that have been given. 

2) In addition, the proposed rule fails to disclose any 
standards for determining how a person can 
"document" the loss of foodstuffs or what will be 
considered "adequate" documentation. 

The Joint Committee objects to this proposed Rule 3.96 
because it is beyond the scope of the statute upon which it is 
based and authorized; further, the Joint Committee objects 
to this proposed Rule 3.96 as extremely vague and 
potentially arbitrary, in violation of the equal protection 
requirements of the federal and State constitutions. 

Date Agency Response Received: July 20, 1978 

Nature of Agency Response; Refusal 

Rule 4.02: Payments to Practitioners and Laboratories 

Initial Publication in Illinois Register: May 12, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 

1. Subparagraph 2 of Proposed Rule 4.02, which reads in 
part: 

Payments are to be made according to a schedule of 
state-wide pricing screens established by the Depart- 
ment of Public Aid.. .Screens will be related to the 
average state-wide charge. 

The Joint Committee objects to this proposed rule because 
it does not set forth the Department's policy as to how 
screens are to be related to the average state-wide charge. 
Such policy constitutes a "rule" as that term is defined in 
the Illinois Administrative Procedure Act, and the Depart- 
ment must give notice thereof and afford interested persons 
reasonable opportunity to comment. 

2. That part of Proposed Rule 4.07, which reads in part: 

Practitioners identified as having been paid at a rate 
in excess of $100,000 per annum during any quarter, 
will be subject to an upper limit of 80 percent of the 
state-wide pricing screens. 

The Joint Committee objects to this proposed rule because 
it denies such practitioners the equal protection of the laws 
guaranteed by the Constitutions of Illinois and of the United 
States. 



40 



Date Agency Response Received: July 26, 1978 

Nature of Agency Response: Refusal 

Amendments to Rule 7.05 

Initial Publication in Illinois Register: May 5, 1978 

Joint Committee Objection: June 6, 1978 

Specific Objections: 

The "Notice of Proposed Amendment" accompanying this 
proposed amendment seems to suggest that this amendment 
is but the tip of an iceberg, i.e., that this and other rules do 
not fully embody the policy of the Department as required 
by Administrative Procedure Act. 

The Joint Committee objects to this proposed amendment to 
Rule 7.05 because the rule appears to be unconstitutionally 
vague and fails to fully embody Department policy. 

Date Agency Response Received: July 10, 1978 

Nature of Agency Response: Refusal 

Rule 4.14: Group Care Services and Rates 

Initial Publication in Illinois Register: August 18, 1978 

Joint Committee Objection: September 18, 1978 

Specific Objections: 

Rule 4.1421(7) reads: 

7. Donated Goods ~ The fair market value of 
nondepreciable care related donated goods is an 
allowable cost. 

Rule 4.1422(6) reads: 

6. Non-Paid Workers — Allowable costs are salaries 
at the value that would be paid if employees 
were hired, only if volunteers are used to meet 
minimum standards and cost is determinable. 

The Joint Committee objects to these proposed sections 
because they do not reasonably relate allowable costs to the 
actual costs of the group care facilities. These sections thus 
violate the requirement of Section 5-5.3 of the Public Aid 
Code (Ill.Rev.Stat.l977,ch.23,par.5-5.3) that the reimburse- 
ment rates be "cost-related" and based on the "actual costs" 
of providing services. 



41 



The Joint Committee also objects to the provisions in Rules 
4.143 (a, b and c) and 4.145(c) as exceeding the statutory 
authority of the Department of Public Aid and imposing 
requirements on the Department of Public Health. These 
regulations more improperly belong under the authority of 
the Department of Public Health or the joint authority of 
the two agencies established by Section 9.1(c) of the Nursing 
Homes, Sheltered Care Homes, and Homes for the Aged Act 
(Ill.Rev.Stat.l977,ch.lllK 2 ,par.35.16 et. seq.) and Section 5- 
5.7 of the Public Aid Code (Ill.Rev.Stat.1977, ch.23,par.5- 
5.7). 

Date Agency Response Received: December 21, 1978 

Nature of Agency Response: Withdrawn 

Rule 4.05: Dental Services 

Initial Publication in Illinois Register: September 22, 1978 

Joint Committee Objection: October 19, 1978 

Specific Objections: 

1. The reference in Proposed Rule 4.05 to the "Drug 
Manual". 

The Joint Committee objects to this proposed rule because 
the Drug Manual is part of the IDPA Medical Assistance 
Program Handbook for Pharmacies. To the extent that this 
handbook contains Department policy not included within 
the Department's published rules and filed with the Secre- 
tary of State, such policy is invalid and unenforceable by the 
Department. At the least, the policy of the Department 
regarding the addition to or deletion from the listing of 
drugs in the Drug Manual constitutes a "rule" as defined in 
the Illinois Administrative Procedure Act, and must be 
adopted as such. 

2. Proposed Rule 4.05, Prescriptions, which states in 
part: "The Department shall require prior approval for 
the prescription of any items not excluded and not 
listed, or in excess of the quantities listed, in its Drug 
Manual"; and proposed Rule 4.05, Limitations, which 
states, in part: "The dentist shall request post 
Approval when a dental procedure requiring prior 
approval is provided on an emergency basis." 

The Joint Committee objects to these proposed rules 
because they lack adequate standards to govern the Depart- 
ment's exercise of discretion with regard to the granting of 
post or prior approval for goods or services. The policies of 
the Department in this area constitute "rules" as that term 
is defined in the Illinois Administrative Procedure Act. 



m 



Under Section 4(c) of the Act, Ill.Rev.Stat.l977,ch.l27, 
par. 1004(c), "(n)o agency rule is valid or effective against 
any person or party, nor may it be invoked by the agency for 
any purpose, until it has been made available for public 
inspection and filed with the Secretary of State as required 
by this Act." 

Date Agency Response Received: Response Pending 



Department of Public Health 

Water Well Pump Installation Code Rules 

Initial Publication in Illinois Register: December 23, 1977 

Joint Committee Objection: January 11, 1978 

Specific Objections: 

Proposed Rule 3.4 which reads: 

3.4 Variance. If conditions exist at a proposed installation 
site which preclude compliance with the requirements 
specified herein, the contractor may request a variance 
from the Department. 

The proposed rule does not sufficiently inform persons 
seeking a variance, or considering such action, of the 
procedure for application or of the criteria to be used by the 
Department to attempt to anticipate and specify every set 
of conditions which would warrant the granting of a 
variance; such decisions will necessarily be made on a case 
by case basis. However, the Joint Committee feels that at 
least the general nature of the factors the Department will 
consider should be set forth in order to provide guidance to 
those affected by these rules. 

Date Agency Response Received: March 28, 1978 

Nature of Agency Response: Modified 

Food Service Sanitation Rules 

Initial Publication in Illinois Register: December 30, 1977 

Joint Committee Objection: January II, 1978 

Specific Objections: 

Proposed Article III, Rule 3.05(a)(3) which reads: 

3. That facilities not in compliance on July 1, 1978, 
because of the unavailability of training programs in 
their area shall be allowed an extension until January 
1, 1979 to comply. 



43 



The Joint Committee objects to this provision because it 
does not indicate on what basis the determination of "the 
unavailability of training programs" in an area is to be made. 
This provision should include a definition of the term 
"unavailability." 

Date Agency Response Received: March 28, 1978 

Nature of Agency Response: Modified 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Nine, 
pages 135-140 )• 

Water Well Construction Code Rules 

Initial Publication in Illinois Register: December 30, 1977 

Joint Committee Objection: January 11, 1978 

Specific Objections: 

1. Proposed Rule 2 A which reads: 
2A Variances 

If conditions exist at a proposed installation site which 
precludes compliance with the requirements specified 
herein, the contractor may request a variance from 
the Department. 

The proposed rule does not sufficiently inform persons 
seeking a variance, or considering such action, of the 
procedure for application or of the criteria to be used by the 
Department in reaching its decision. It is obviously 
impossible for the Department to attempt to anticipate and 
specify every set of conditions which would warrant the 
granting of a variance; such decisions will necessarily be 
made on a case by case basis. However, the Joint 
Committee feels that at least the general nature of the 
factors the Department will consider should be set forth in 
order to provide guidance to those affected by these rules. 

2. Proposed Rule 9.1 which reads in part: 
9.1 Casing And Liner Pipe 

Casing produced from any other materials must 
receive be — apf>r-o-ved- approval by the Illinois 
Department of Public Health prior to use . 

This Rule does not indicate how the Department's approval 
is to be secured. In addition, the Joint Committee 
recommends that this rule state that the Department 
approval shall be given only if the Department specifically 
finds that the casing produced from other materials be at 



least equivalent to the materials expressly mentioned in the 
rule in terms of safety and suitability for the function for 
which the casing is to be used. 

Date Agency Response Received: March 28, 1978 

Nature of Agency Response: Modified 

Rules for Licensing of Hospitals 

Initial Publication in Illinois Register: December 30, 1977 

Joint Committee Objection: January 11, 1978 

Specific Objections: 

Proposed Part XXI - Construction Standards For Existing 
Hospitals. 

The proposed addition of construction standards for existing 
hospitals makes no provision for informing hospitals of the 
phase-in period allowed to conform with the new rules. 
From the Department's presentation to the Joint Committee 
it is clear that it is not the intention of the Department to 
require full compliance by all covered hospitals immediately 
on these new rules becoming effective. Rather, the 
Department recognizes that some delay will be necessary 
before all hospitals will be able to comply fully with the new 
requirements, depending on economic factors and the extent 
of modifications required to bring each hospital up to the 
new-standards. 

Therefore, the Joint Committee believes that the Depart- 
ment should inform hospitals affected by these rules of the 
time limitations for compliance. 

Date Agency Response Received: March 28, 1978 

Nature of Agency Response: Modified 

Grant Awards to Family Practice Residency Programs 

Initial Publication in Illinois Register: January 13, 1978 

Joint Committee Objection: February 21, 1978 

Specific Objections: 

1. Proposed Rule 3.01 which reads: 

3.01 Membership of the Advisory Committee shall 
include the Executive Secretary of the Statewide 
Health Coordinating Council, one school of medi- 
cine or osteopathy dean, four family 



4.5 



practitioners and three members of the general 
public capable of advising the Director in 
matters of financial aid, underserved 
populations, or who utilize family practice 
services. 

Since this proposed rule restates only part of Section 5 of 
the Act, it is confusing and possibly misleading. It would be 
preferrable to reference "the advisory committee created by 
Section 5 of the Act." 

2. Proposed Rule 3.02.5 which reads: 

3.02.5 Meetings shall be at the discretion of the 
Director. 

The statutory requirement in Section 5 of the Act that the 
Advisory Committee meet at least once a year should be 
included. 

3. Proposed Rule 4.02 which reads: 

4.02 Eligibility-Any accredited family practice 
program, school of medicine or osteopathy with a 
department of family practice, or any 
community sponsoring ageny or educational 
extension of family practice residencies in desig- 
nated shortage areas of the State may apply for 
a grant under this Act. 

The rule should clearly state the sense in which the word 
"committed" is used in the Proposed Rule. 

4. Proposed Rule 4.04.4 which reads: 

4.04 Project Requirements - Each applicant shall: 

4.04.4 Participate in research and reporting as 
required by the Director at appropriate intervals. 

Whether the Director requires participation in research and 
reporting at fixed or variable intervals, the use of the term 
"appropriate intervals" in the Proposed Rule does not 
sufficiently inform applicants of their obligations. 

5. Proposed Rule 4.05 which reads: 

4.05 Project Preferences - The Director, after con- 
sultation with the Advisory Committee, will 
approve all applications, taking into considera- 
tion the following program elements:.... 

The wording of the proposed rule implies that the Director 
will not disapprove any applications. Unless this is the 
intent of the proposed rule, the wording should be changed. 



<6 



6. Proposed Rule 4.05.3 which reads: 

4.05.3 The understanding of the political and social 
conditions under which a medical practice is 
conducted. 

This Proposed Rule is this context is inappropriate and 
unnecessary and the language should be deleted. 

7. Proposed Rule 5.04 which reads: 

5.04 Each applicant shall be accountable to expend 
the funds solely for carrying out the approved 
project. Failure to show accountability will 
terminate further awards, and recoupment may 
be required after judicial hearing. 

This provision does not meet the requirements contained in 
the Illinois Administrative Procedure Act concerning 
contested cases. 

Date Agency Response Received: May 24, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Ten, 
pages lu- 145). 

Rules for Licensure of Home Health Agencies 

Initial Publication in Illinois Register: January 20, 1978 

Joint Committee Objection: February 21, 1978 

Specific Objections: 

1. Proposed Rule 2.0. 

The Joint Committee objects to the following terms as 
defined in Proposed Rule 2.0: Administrator; Branch Office; 
Clinical Note; Home Health Aide; Plan of Treatment; Super- 
vision. The definitions go beyond the intent of Public Act 
80-804 in that they impose requirements upon home health 
agencies not contemplated by the Legislature. 

2. Proposed Rule 6.05 which reads: 

6.05 Licensure Nontransferable 

1) Each license shall be issued only for the home 
health agency named in the application and shall 
not be transferred or assigned to any other 
person, agency or corporation. 

2) Sale, assignment, lease or other transfer, volun- 
tary or involuntary, shall require relicensure by 
the new owner or person in interest prior to 
maintaining operating or conducting a home 
health agency. 



47 



Subparagraph 2) of Proposed Rule provides, in effect, for the 
automatic revocation of a license when control of the home 
health agency is transferred. Such a provision is not 
authorized by Section 9 of Public Act 80-804, which states 
the authority of the Department to revoke licenses. 

3. Proposed Rule 6.04(3). 

The Joint Committee objects to the requirement that 
approval of the Health Systems Agency be obtained for each 
annual license renewal. 

4. Proposed 6.06(3)(c). (Note: The letter (c) appears to 
have been inadvertently omitted from the text of the 
Proposed Rule as published in the Illinois Register .) 

This Proposed Rule exceeds the authority of the Department 
in that it purports to prescribe to the various health systems 
agencies the criteria they should use to approve a home 
health agency. Section 6 of Public Act 80-804 requires only 
that the health systems agency certify that the home health 
agency service is consistent with the health service plan of 
the health systems agency. 

Date Agency Response Received: May 24, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Twelve, 
pages 151 - 158 ). 

Rules Implementing the Choke Saving Methods Act 

Initial Publication in Illinois Register: February 10, 1978 

Joint Committee Objection: March 23, 1978 

Specific Objections: 

Proposed Rule 3 which reads: 

Rule 3. Program Administration 

The Illinois Department of Public Health, Divi- 
sion of Emergency Medical Services and Highway 
Safety is responsible for the program coordina- 
tion on a statewide basis. The Illinois Depart- 
ment of Public Health designed placards which 
are available free of charge to food service 
establishments. 

The Joint Committee objects to this proposed rule because 
Section 3.1 of the Choke-Saving Methods Act (111. Rev. Stat. 
1977, ch. 56^2, par. 603.1) requires the Department to 
distribute placards to food service establishments. 



Date Agency Response Received: May 24, 1978 

Nature of Agency Response: Refusal 

The Joint Committee has adopted a resolution in response to this 
rulemaking urging appropriate action by the Department and 
scrutiny of the Department's appropriation by the appropriate 
committees of the General Assembly (see page 224). 

Second Edition of Rule 9 of the Health Facilities Planning Board 

Initial Publication in Illinois Register: February 3, 1978 

Joint Committee Objection: March 23, 1978 

Specific Objections: 

Proposed Paragraph 9.03.06 reads: 

9.03.06 

" TIE Committees and Innovative Programs 
Committees ," shall be committees appointed by 
the Chairman of the State Board. Each 
Committee shall consist of a minimum of two 
members of the State Board (one consumer, one 
provider) of which one shall be designated as the 
chairman of the committee, one agency staff 
member, one person representing the appropriate 
health care facility organization (e.g., related to 
hospitals), one consumer member of the Board of 
a recognized areawide health planning 
organization, one recognized areawide health 
planning organization staff member, and a 
minimum of two experts in the applicable field 
to which the TIE or Innovative Program relates. 
The Executive Secretary shall solicit the 
assistance or appropriate professional, scientific, 
and other sources to identify experts whom the 
Chairman can consider for appointment. 

There shall be a TIE Committee for each type of 
equipment which is to be considered for a 
classification as TIE and an Innovative Program 
Committee for each type of program which is to 
be classified or considered for classification as 
an Innovative Program. The committee shall 
continue to function until the particular TIE or 
Innovative Program is declassified by the State 
Board. 

The Joint Committee objects to this proposed paragraph as 
beyond the scope of the statute in that it is not conducive to 
the expressed purpose of the Illinois Health Facilities 



49 



Planning Act (Ill.Rev.Stat.l977,ch.lllJ4,par.ll52) to 
promote the establishment of an orderly and comprehensive 
health care delivery system which will guarantee the 
availability of quality health care to the general public. The 
3oint Committee is particularly disturbed by the absence of 
any provision in Paragraph 9.03.06 or elsewhere which would 
establish a time-frame for appointment of a TIE or 
Innovative Program Committee and the absence of any 
provision which would establish a time-frame for 
classification by such committees. 

Date Agency Response Received: May 24, 1978 

Nature of Agency Response: Refusal 

Rule 4B.05 of the Health Facilities Planning Board 

Initial Publication in Illinois Register: March 24, 1978 

Joint Committee Objection: April 18, 1978 

Specific Objections: 

These proposed paragraphs would void and revoke, respec- 
tively, the "Rule 4B Exemption" established in Rule 4B. 05. 
The Joint Committee believes the "Rule 4B Exemption" to 
be warranted by the constitutional prohibition against 
impairment of (existing) contracts rather than by any 
statutory authority. 

The Joint Committee objects to these proposed paragraphs 
because they would authorize the impairment of contracts in 
violation of Article I, Section 10 of the United States 
Constitution and Article I, Section 16 of the Illinois 
Constitution of 1970. 

Date Agency Response Received: May 24, 1978 

Nature of Agency Response: Refusal 

Grants to Illinois Medical Students Under the Family Practice 
Residency Act 

Initial Publication in Illinois Register: June 16, 1978 

Joint Committee Objection: July 26, 1978 

Specific Objections: 

1. Proposed Rule 9.04, which requires scholarship 
recipients to agree to one year of service for each 
year such financial assistance was received. 



■50 



The Joint Committee objects to this proposed rule because 
Section 3.07 of the Family Practice Residency Act, 111. Rev. 
Stat. 1977, ch. 144, par. 1453.07, defines an "eligible 
medical student" as one who "agrees to serve for three years 
as a primary care physician." However desirable the 
Department believes the policy expressed in the proposed 
Rule to be, it contrary to the express language of the Act. 

2. Proposed Rule 10.01, which reads in part: 

10.01 In the event the student fails to perform the 
terms.. .of his or her contract the student shall 
repay to the Department all monies spent by the 
Department for the student's medical 
studies.. .and an additional penalty sum equal to 
twice that amount. 

The Joint Committee objects to this proposed rule because 
the Department has no statutory authority to impose a 
penalty for breach of contract, and such penalty is otherwise 
unenforceable. 

Date Agency Response Received: August 10, 1978 

Nature of Agency Response: Modified 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Eleven, 
pages 1^7- 150 )■ 

Hospital Licensing Requirements, Maternity and Newborn Services 

Initial Publication in Illinois Register: August 25, 1978 

Joint Committee Objection: September 18, 1978 

Specific Objections: 

Both Rule 4(15-2.4) and Rule 7(15-2.7) require hospitals to 
submit a service program plan ("Maternity and Neonatal", 
and "Combined Service", respectively) to the Department of 
Public Health for its approval. Neither rule includes or 
refers to standards for securing the approval of the Depart- 
ment for such plans. 

The Joint Committee objects to these proposed amendments 
to Rule 4(15-2.4) and Rule 7(15-2.7) because these proposed 
amended rules fail to prescribe any standards for approval of 
plans subject to the rules, and are therefore unduly vague. 

Date Agency Response Received: December 12, 1978 

Nature of Agency Response: Modified 



51 



Rule 19.04.00: Alcoholism and Intoxication Treatment Programs 

Initial Publication in Illinois Register: September 1, 1978 

Joint Committee Objection: September 18, 1978 

Specific Objections: 

Proposed Rule 19.04.00 states that "The aftercare program 
shall have adequate staff." No standard by which the 
adequacy of an aftercare program's staff is to be judged by 
the Department is provided or referred to. No guidance is 
provided as to whether "adequate" refers to staff size, staff 
training, staff experience, or other criteria. 

The 3oint Committee objects to this proposed Rule 19.04.00 
of the Rules and Regulations for Alcoholism and Intoxication 
Treatment Programs because the proposed rule fails to 
prescribe standards for determination by the Department of 
Public Health of the adequacy of alcoholism aftercare 
treatment staffs. 

Date Agency Response Received: December 8, 1978 

Nature of Agency Response: Modified 

Mobile Intensive Care Program 

Initial Publication in Illinois Register: October 20, 1978 

Joint Committee Objection: November 14, 1978 

Specific Objections: 

Article IV, Rule 4.03(b)(10) of the proposed Mobile Intensive 
Care Program Rules and Regulations which states that the 
(ALS/MIC Program) proposal must include "(a) letter from 
the highest elected official from each governmental unit of 
the area involved must agree in writing to the ALS/MIC 
concept." 

Article IV, Rule 4.05 of the proposed Mobile Intensive Care 
Program, Rule and Regulations, which states that 

(t)he proposal must contain written commitments from 
each of the following individuals: 

d) Medical Records Librarian 

The Joint Committee objects to the proposed Mobile 
Intensive Care Program, Rules and Regulations, Article IV, 
Rules 4.03(b)(10) and 4.05(d) because they are unreasonable 
and arbitrary and exceed the Department's authority under 
the Pre-Hospital Emergency Medical Services Act. 



Date Agency Response Received: December 7, 1978 

Nature of Agency Response: Withdrawn 

Licensure of Intermediate Care Facilities for the Developmentally 
Disabled 

Initial Publication in Illinois Register: October 27, 1978 

Joint Committee Objection: November 14, 1978 

Specific Objections: 

1. Division 42 - Policies, Rule 42.02.02.02 of proposed 
Minimum Standards, Rules and Regulations for the 
Licensure of Intermediate Care Facilities for the 
Developmentally Disabled which states "(a) written 
statement linking the facility's role to the state com- 
prehensive program for the developmentally disabled." 

The Joint Committee objects to the proposed Minimum 
Standards, Rules for the Licensure of Intermediate Care 
Facilities for the Developmentally Disabled because they 
condition licensure on adherence to rules not on file with the 
Secretary of State, in violation of Section 4(c) of the Illinois 
Administrative Procedure Act, 111. Rev. Stat. 1977, ch. 127, 
par. 1001 et seq. 

2. Division 57 - Special Standards for Intermediate Care 
Facilities for the Developmentally Disabled of Fifteen 
(15) Beds or Less, Sections 9, 10, 11, 14, 18, 19 and 20 
of proposed Minimum Standards, Rules and Regulations 
for the Licensure of Intermediate Care Facilities for 
the Developmentally Disabled. 

The Joint Committee objects to these proposed Sections 
because the Department's waiver procedures are not 
specified in Division 57 - Special Standards for Intermediate 
Care Facilities for the Developmentally Disabled of Fifteen 
(15) Beds or Less. Such procedures constitute "rules" as that 
term is defined in Section 3.09 of the Illinois Administrative 
Procedure Act, Ill.Rev.Stat.l977,ch.l27,par.l001 et. seq., 
and the Department's failure to include them in these 
proposed Rules violates Section 4(c) of the Act. 

Date Agency Response Received: Response Pending 

Department of Registration and Education 

Implementation of P.A. 80-236 (Grants to Public Museums) 

Initial Publication in Illinois Register: February 24, 1978 



53 



Joint Committee Objection: March 23, 1978 

Specific Objections: 

The Joint Committee objects to these rules in their entirety 
because there is no statutory authority for rulemaking 
conferred upon the Department of Registration and Educa- 
tion for the purposes of Public Act 80-236. 

Date Agency Response Received: May 12, 1978 

Nature of Agency Response: Withdrawn 

Rule XVII, Rental Finding Services 

Initial Publication in Illinois Register: October 6, 1978 

Joint Committee Objection: November 14, 1978 

Specific Objections: 

1. Section A of proposed Rule XVII which states, in part: 

Any person, association, co-partnership or 
corporation, who for compensation or valuable 
consideration, finds attempts to find, or offers to 
find, for any person, a unit of rental real estate, 
or who is engaged in the business of or activity 
involving the finding, attempting to find, or 
offering to find a unit of rental real estate, shall 
be considered to fall within the definition of the 
term "broker" under the Illinois Real Estate 
Brokers and Salesmen License Act, and engaging 
in such business or activity shall, therefore, 
require, pursuant to the Act, proper licensure 
before this business or activity shall be engaged 



The Joint Committee objects to this proposed Section 
because it may be read to include an owner or manager of an 
apartment building, or the employees of a rental office of an 
apartment complex. The inclusion of such persons in the 
definition of "finder" goes beyond the intent of the General 
Assembly as expressed in the Real Estate Brokers and 
Salesmen License Act, Ill.Rev.Stat.l977,ch.lll,par.5701 et 
seq, and is in violation of Section 6 of the Act. 

2. Section D(8) of proposed Rule XVII which states: 

Pursuant to paragraph (c) (6) above, the following 
information for each rental unit shall be provided 
to the person with whom such contract is entered 
into: 



8) Whether the rental unit is listed with the 
express authority of the owner or his agent; 

The Joint Committee objects to this proposed Section 
because Sections 15(e)(5) and (16) of the Real Estate Brokers 
and Salesmen License Act, 111. Rev.Stat. 1977, ch. Ill, par. 
5732(e)(5), (16), prohibits a broker from "(a)cting for more 
than one party in a transaction without the knowledge of all 
parties for whom he acts," and from "advertising that any 
property is.. .for rent in a newspaper or other publication 
without the consent of the owner or his authorized agent." 
As written, the proposed Rule appears to permit a finder to 
act without the permission of the owner. 

Date Agency Response Received: December 13, 1978 

Nature of Agency Response: Modified 

Department of Revenue 

Coin-Operated Amusement Device Tax Rules 

Initial Publication in Illinois Register: February 24, 1978 
Joint Committee Objection: March 23, 1978 
Specific Objections: 

1. Proposed Rule 2, Section 4, which reads in part: 

A license may be issued for any fractional 
portion of a license year, but not less than a 
month. Even a fractional year will end on the 
ensuing July 31. A fractional license year cannot 
be issued for one or more months ending with 
some date other than July 31. 

This proposed rule is confusing. If it is the Department's 
intent that any fractional year license expire on the July 31 
following its issuance, it should be so stated. For example: 
"All fractional year licenses shall expire on the ensuing July 
31." 

2. Proposed Rule 2, Section 4. 

If this proposed rule is not changed, as suggested in 
Objection 1, the phrase "fractional license year" in the last 
sentence of the section is apparently a typographical error 
and should be corrected to "fractional year license." 

Date Agency Response Received: April 27, 1978 

Nature of Agency Response: Withdrawn 



55 



The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Fifteen, 
pages 179- 182 )• 

Rule 1 Under the Bingo License and Tax Act 

Initial Publication in Illinois Register: July 21, 1978 

Joint Committee Objection: August 23, 1978 

Specific Objections: 

The proposed new language in Section C reads: 

"The Department may require a bond in such an 
amount as, in its opinion, will protect the State of 
Illinois against failure to pay the amount which may 
become due from the applicant, but the amount of the 
bond required by the Department shall not exceed 
$50.00 per day for each day of bingo." 

Section B reads in part: 

"The Department may require an additional bond 
whenever the bond already posted does not cover the 
licensee's average quarterly tax liability." 

The Joint Committee objects to this proposed amendment 
because in both of the cited sections, the rule fails to state 
agency policy regarding the basis on which the Department 
will exercise its discretionary power to set the amount of a 
limited bingo license bond and to require additional bonds 
for regular bingo licenses. This lack of standards for making 
these determinations fails to protect against arbitrary 
action by the Department. Section 4(c) of the Illinois 
Administrative Procedure Act requires that each agency 
statement of policy must be adopted pursuant to the Act to 
be effective or invoked by the agency. 

Date Agency Response Received: September 18, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Thirteen, 
pages 159- i63 ). 

Retailers Occupation Tax, County Fairs 

Initial Publication in Illinois Register: August 11, 1978 

Joint Committee Objection: September 18, 1978 



Specific Objections: 

Section 1 of Rule 49, which requires persons selling tangible 
personal property for use or consumption at the State Fair, 
County Fairs, art shows, flea markets "and the like" to make 
daily payment of the tax due to the Department. 

The Joint Committee objects to this proposed amendment 
because nothing in the Retailers* Occupation Tax Act, 
Ill.Rev.Stat.l977,ch.l20,par.440 et seq. authorizes the 
Department to collect the tax on a daily basis. Such a 
policy may be advisable, but the Department has only those 
powers delegated by the General Assembly, and the General 
Assembly has not granted, either expressly or by necessary 
implication, the power to collect such tax on a daily basis. 

Date Agency Response Received: October 26, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Fourteen, 
pages 165-177 )• 

Coin-Operated Amusement Device Tax Rules 

Initial Publication in Illinois Register: September 8, 1978 

Joint Committee Objection: October 19, 1978 

Specific Objections: 

The proposed change would bring Department rules into 
literal compliance with statutory language by establishing 
that the tax on coin operated amusement devices would be 
measured by the number of coin-receiving slots rather than 
the number of devices. 

The Joint Committee objects to this proposed amendment to 
Rule 1 because this provision is, in the Joint Committee's 
opinion, impractical, unreasonable, and contrary to legisla- 
tive intent. 

Date Agency Response Received: November 3, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Fifteen, 
pages 179- 182 ). 



57 



Department of Transportation 

Allocation of Financial Responsibility for Traffic Control Signals 

Initial Publication in Illinois Register: May 5, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 

Proposed Rule 13-3.5, agreements and permits, which deals 
with maintenance agreements between the Department and 
local agencies. 

The Joint Committee objects to this proposed rule because 
the rule does not specify that such agreements may not 
purport to bind the State beyond the end of the fiscal year in 
which the agreement is signed, State Finance Act, Sections 
25, 30, Ill.Rev.Stat.l977,ch.l27,pars.l61,166. 

Date Agency Response Received: July 20, 1978 

Nature of Agency Response: Modified 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Sixteen, 
pages 183- 186 ). 

Department of Veterans' Affairs 

Scholarships for Military Dependents 

Initial Publication in Illinois Register: September 1, 1978 

Joint Committee Objection: September 18, 1978 

Specific Objections: 

Proposed Rule 16.12, which lists non-reimbursable fees 
under this scholarship program. 

The Joint Committee objects to this proposed rule because 
Section 30-14.2 of the School Code, 111. Rev.Stat. 1977, ch. 
122, par. 30-14.2, provides that eligible students are entitled 
to payment of "mandatory fees." Since some of the fees 
listed in Proposed Rule 16.12 as non-reimbursable are, in 
fact, mandatory, the proposed rule is in direct conflict with 
the statute. 

Date Agency Response Received: December 7, 1978 

Nature of Agency Response: Modified 



The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Seventeen, 
pages 187- 191 )• 



ELECTED OFFICIALS 

Office of the Attorney General 

Rules Regarding Issuance of Opinions 

Initial Publication in Illinois Register: May 26, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 

Section 5 of "An Act in regard to attorneys general and 
state's attorneys'* (Ch. 14, par. 5, 111. Rev. Stats.) authorizes 
the Attorney General to issue legal opinions in certain cases. 
These proposed rules are intended to state the Attorney 
General to issue legal opinions in certain cases. These 
proposed rules are intended to state the Attorney General's 
policies, and procedural and form requirements, relative to 
requesting such opinions. Neither the cited Act, nor any 
other Act, case law, Constitutional power or provision 
expressly empowers the Attorney General to issue such 
rules. 

The Joint Committee objects to this proposed rulemaking 
because it is beyond the scope of the Attorney General's 
statutory or other authority to promulgate and enforce rules 
in connection with issuance of legal opinions. 

Date Agency Response Received: September 20, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Eighteen, 
pages 193- 197 >- 

Office of the Secretary of State 

Rules under the Business Take-Over Act 

Initial Publication in Illinois Register: September 29, 1978 
Joint Committee Objection: October 19, 1978 



59 



Specific Objections: 

The final paragraph of proposed Rule 202, definition of the 
term "initial public disclosure of the intent to make a take- 
over offer" as used in Section 4.B. and in Section 5 of the 
Act. The final paragraph states: 

The Secretary may permit the omission of any of the 
above information or the inclusion of additional 
information in a public disclosure. 

The Joint Committee objects to this proposed rule because 
it lacks adequate standards to govern the exercise of the 
Secretary's discretion with regard to permitting the omission 
or requiring the inclusion of information. The policy of the 
Office of the Secretary of State in this area constitutes a 
"rule" as that term is defined in the Illinois Administrative 
Procedure Act. Under Section 4(c) of the Act, 111. Rev. 
Stat. 1977, ch. 127, par. 1004(c), "(n)o agency rule is valid or 
effective against any person or party, nor may it be invoked 
by the agency for any purpose, until it has been made 
available for public inspection and filed with the Secretary 
of State as required by this Act." 

Date Agency Response Received: November 5, 1978 

Nature of Agency Response: Modified 
OTHER AGENCIES 

Capital Development Board 

Accessibility Standards Illustrated 

Initial Publication in Illinois Register: September 8, 1978 

Joint Committee Objection: October 19, 1978 

Specific Objections: 

1. The terms "Apartment" and "Apartment Building" as 
defined in Section 1.1.3 of the proposed Standards and 
wherever used in the proposed Standards as including 
privately owned residential structures. This objection 
includes, but is not limited to, the use of those terms in 
Section 16.1, Residential Structures. 

The Joint Committee objects to these proposed Sections 
because the definition of "Public building" in Section 2 of 
the Facilities for the Handicapped Act, 111. Rev. Stat. 1977, 
ch. IIIK2, par. 3702, cannot reasonably be construed to 
include privately owned residential structures, nor was it the 
intent of the General Assembly to include such structures 
within the scope of the Act. The Capital Development 
Board has no authority to adopt rules applicable to such 
buildings. 



;>0 



2. Section 8.1.7 of the proposed Standards, which requires 
all employee toilet facilities to be accessible. 

The Joint Committee objects to this proposed Section 
because Section 4 of the Facilities for the Handicapped Act, 
111. Rev. Stat. 1977, ch. 111ft, par. 3704, expressly requires 
that the Standards "shall not require facilities for the handi- 
capped in portions of public buildings which are not open to 
or used by the general public." To the extent that employee 
toilet facilities are not open to or used by the general 
public, the Board has no authority to adopt standards 
applicable to such facilities. 

3. Section 16.4, Health Facilities, of the proposed 
Standards, which states in Section 16.4.1 that "(a)li spaces 
used by visitors and staff shall meet the requiements of this 
standard." 

The Joint Committee objects to this proposed Section 
because, to the extent that portions of the health facility 
are not open to or used by the general public, the Board has 
no authority to adopt standards applicable to such facilities. 

4. Section 17.1, Remodeling, of the proposed Standards, 
which makes these Standards applicable to the remodeling of 
all public buildings. 

The Joint Committee objects to this proposed Section 
because under Sections 5 and 6 of the Facilities for the 
Handicapped Act, Ill.Rev.Stat.i977,ch.lllJ / 2 ,pars.3705,3706, 
the Standards may apply to the remodeling of public 
buildings only when such remodeling is done by "the State or 
any political subdivision, governmental entity or public 
authority." The Board has no authority to adopt rules 
governing the remodeling of all public buildings. 

Date Agency Response Received: December 22, 1978 

Nature of Agency Response: Refusal 

The Joint Committee has adopted a resolution in response to this 
rulemaking urging appropriate action by the Board, the Attorney 
General and the Appropriations Committees of the General 
Assembly, (seepages 2 1 8 _ 2 1 9 )• 



Commerce Commission 

General Order 153, Motor Bus Carriers 

Initial Publication in Illinois Register: May 26, 1978 
Joint Committee Objection: June 16, 1978 



61 



Specific Objections: 

Proposed Section 3D, which reads: 

Baggage Liability: 

Carrier may not totally exempt its liability for any article 
offered as check baggage, except for certain articles which 
list shall be prominently posted and shall be articles 
approved by the Illinois Commerce Commission as exempt 
from carrier liability. 

The Joint Committee objects to this proposed rule because 
it does not set forth any of the criteria which the 
Commission will use to approve exemptions from liability. 

Date Agency Response Received: August 31, 1978 

Nature of Agency Response: Modified 

General Order 172: Procedures for Utilities 

Initial Publication in Illinois Register: October 13, 1978 

Joint Committee Objection: November 14, 1978 

Specific Objections: 

Rule 9 of General Order 172 which gives two dates on which 
a utility may consider a payment past due as follows: 

1) "payment is received at the utilities' office not 
more than two full business days after the due 
date printed on the bill the customer shall be 
deemed to have made a timely payment." 

2) "(i)n determining whether a bill is past due, a 
utility may rely on the postmark of the payment, 
in which case, the payment shall be considered 
past due if the payment is postmarked after the 
due date printed on the bill." 

In fact, it is the Commission's, policy that a utility must 
elect to use one date or the other. The proposed rule does 
not state this policy. 

The Joint Committee objects to this proposed rule because 
it does not state the Commission's policy as to when a utility 
may consider a payment past due. The policy of the 
Commission in this area constitutes a "rule" as that term is 
defined in the Illinois Administrative Procedure Act. Under 
Section 4(c) of the Act, 111. Rev. Stat. 1977, ch. 127, par. 
1004(c), "(n)o agency rule is valid or effective against any 
person or party, nor may it be invoked by the agency for any 
purpose, until it has been made available for public 
inspection and filed with the Secretary of State as required 
by this Act. 



Date Agency Response Received: January 2, 1979 

Nature of Agency Response: Modified 

Safety Standards for Transportation of Gas and Pipeline Facilities 

Initial Publication in Illinois Register: October 6, 1978 

Joint Committee Objection: November 14, 1978 

Specific Objections: 

Sections 192.13 and 192.619 to the extent that they refer to 
offshore pipeline. 

The Joint Committee objects to these proposed Sections 
because references to offshore pipeline are unnecessary and 
inappropriate as applied to gas pipeline in Illinois. There are 
currently no offshore lines in this state; and "offshore 
pipeline" as defined in the federal regulations, which the 
Commission has adopted in toto , would not include 
underwater pipeline in Illinois. 

Date Agency Response Received: Response Pending 

Dangerous Drugs Commission 

Rules for Drug Abuse Programs 

Initial Publication in Illinois Register: October 27, 1978 
Joint Committee Objection: November 14, 1978 

Specific Objections: 

1. Proposed Rule 2.01 defines, in part, an addict as "any 
individual who habitually uses certain mind-altering 
substances or intoxicants to the point of having 
developed a physical and/or psychological dependence 
on them", and addiction as a "physical and/or psycho- 
logical dependence upon a drug." Sec. 3 of the 
Dangerous Drugs Abuse Act, 111. Rev. Stat. 1977, ch. 
91&, par. 120.3-3 - 120.3-4 defines addict and 
addiction, in part, as "habitually using a controlled 
substance." 

The Joint Committee objects to this proposed Rule 2.01 
defining addict and addiction because it does not conform 
with the statutory definition of addict and addiction. 

2. Proposed Rule 42.04 which reads, in part: 



63 



42.04 Intake protocol 

At intake initial personal, medical, and drug 
histories must be taken by appropriately trained 
and experienced intake coordinators or medical 
practitioners. 

The Commission was asked to specify the standards used in 
determination of what is meant by appropriately trained and 
experienced. The Commission responded that it was 
determined on a case by case basis because of the 
uniqueness of each drug abuse program. 

The Joint Committee objects to this proposed amendment 
because it lacks adequate standards to govern the 
Commission's exercise of discretion with regard to approval 
of drug abuse programs. The policy of the Commission in 
this area constitutes a "rule" as that term is defined in the 
Illinois Administrative Procedure Act. Under Section 4(c) of 
the Act, 111. Rev. Stat. 1977, ch. 127, par. 1004(c), "(n)o 
agency rule is valid or effective against any person or party, 
nor may it be invoked by the agency for any purpose until it 
has been made available for public inspection and filed with 
the Secretary of State as required by this Act." 

Date Agency Response Received: Response Pending 

State Board of Elections 

Certification of Proposed Constitutional Amendments and Policy 
Referenda 

Initial Publication in Illinois Register; June 23, 1978 

Joint Committee Objection: July 25, 1978 

Specific Objections: 

1. Section 3 of proposed Rule 8-1, which reads: 

"3. There shall be no limit on the number of proposed 
amendments to the Illinois Constitution submitted to 
the electorate at the same election." 

The Joint Committee objects to this proposed Section 
because Article XIV, Section 2(c) of the Illinois Constitution 
expressly limits the number of amendments that may be 
submitted at an election. Although this limitation is 
mentioned elsewhere in the proposed Rule, the statement in 
Section 3 is inaccurate and misleading. 



2. Section k of proposed Rule 8-1, which reads: 

"4. The State Board of Elections shall not certify 
more than three questions of public policy initiated by 
petition for the same election. All remaining ques- 
tions of public policy shall be certified and submitted 
to the voters at the next succeeding general election." 

The Joint Committee objects to this proposed Section 
because Section 28-1 of the Election Code, 111. Rev. Stat. 
1977, ch. 46, par. 28-1, requires the Board to submit 
questions of public policy "at any general, special or primary 
election named in the petition." Where more than three 
petitions presenting such questions are filed, the Board has 
no authority to submit the questions at succeeding elections 
not named in the petition. 

Date Agency Response Received: August 23, 1978 

Nature of Agency Response: Modified 

Environmental Protection Agency 

Criteria for Siting Sanitary Landfills in Marginal Areas 

Initial Publication in Illinois Register: July 7, 1978 

Joint Committee Objection: July 25, 1978 

Specific Objections: 

The Joint Committee objects to this proposed set of criteria 
because the agency lacks statutory authority for making 
such rules. The agency has the statutory authority with 
respect to permitting sanitary landfills under the Environ- 
mental Protection Act to "adopt such procedures as are 
necessary to carry out its duties udner this section" and to 
"impose such conditions as may be necessary to accomplish 
the purposes of this Act and as are not inconsistent with the 
regulations promulgated by the (Pollution Control) Board 
hereunder." ( Il.Rev.Stats .l977,ch. 1 1 1 K 2 ,par. 1039(2)). 

However, these criteria are broad standards, excluding a 
general type of area from consideration for permits for 
sanitary landfills, and more properly belong under the 
Pollution Control Board's authority to set general 
"standards" (par. 1022) than under the Agency's more 
limited authority to establish "procedures" and "conditions" 
within the Board's standards. The Environmental Protection 
Agency is, therefore, exceeding its statutory authority in 
proposing these rules. 

Date Agency Response Received: October 25, 1978 

Nature of Agency Response: Withdrawn 



65 



Technical Policy Statement, Public Water Supplies 

Initial Publication in Illinois Register: July 21, 1978 

Joint Committee Objection: August 23, 1978 

Specific Objections: 

The Joint Committee objects to these proposed amendments 
because the Agency lacks the statutory authority to adopt 
regulations governing the location, design, construction, 
operation and maintenance of public water supply installa- 
tions. Such authority has been delegated by the General 
Assembly to the Pollution Control Board, and the Board, an 
entity completely separate and distinct from the Agency, 
has no authority to redelegate its powers to another state 
agency. 

Date Agency Response Received: November 22, 1978 

Nature of Agency Response: Refusal 

Board of Ethics 

Rule 8: Undue Hardship 

Initial Publication in Illinois Register: June 9, 1978 

Joint Committee Objection: July 25, 1978 

Specific Objections: 

The first paragraph of Rule 8, reads in part: 

"In the event the Board determines that the objection 
is not frivolous, the statement of the included person 
will not be required to disclose information with 
respect to the objecting spouse or immediate family 
members..." 

The Joint Committee objects to this proposed New Rule 8 
because the determination to be made by the Board under 
this rule, namely the non-frivolity of the request, is 
inconsistent with the authorizing law cited by the Board. 
Executive Order No. 3 (1977), paragraph 6, clearly requires 
the Board to make such determinations on the basis of undue 
hardship . Further, the Board has failed to provide in the 
rule meaningful standards or criteria for making the 
determination of the absence or presence of undue hardship. 

Date Agency Response Received: August 7, 1978 

Nature of Agency Response: Modified 



Governor's Office of Manpower and Human Development 

Rules for the Office of Consumer Services 

Initial Publication in Illinois Register: May 26, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 

Executive Order Number 3-1976, which created GOMHD and 
set forth its duties and responsibilities, cannot reasonably be 
construed to authorize the agency to administer the program 
described in the proposed rules. The Executive Order 
clearly relates only to the problems of unemployment and 
underemployment, and the need for coordination among 
agencies to find solutions to those problems. The proposed 
rules, however, deal with a program which has very little, if 
any, connection with those problems. 

Date Agency Response Received: July 18, 1978 

Nature of Agency Response: Refusal 

The Joint Committee had adopted a resolution in response to this 
rulemaking urging appropriate action by the Office, and the 
Appropriations Committees of the General Assembly (see 
pages 220-221 )• 

Amendments to Rules for the Office of Consumer Services 

Initial Publication in Illinois Register: August k, 1978 

Joint Committee Objection: August 23, 1978 

Specific Objections: 

This rulemaking is an amendment to rules originally 
proposed by GOMHD in May, 1978, and objected to by the 
Joint Committee at its June 16, 1978, meeting. The basis 
for the earlier objection remains and is applicable to this 
proposed rulemaking; i.e., Executive Order Number 3-1976, 
which created GOMHD, does not authorize the agency to 
administer the program that the proposed rules, including 
this proposed amendment, implement. 

Date Agency Response Received: September 21, 1978 

Nature of Agency Response: Refusal 

The Joint Committee has adopted a resolution in response to this 
rulemaking urging appropriate action by the Office and the 
Appropriations Committees of the General Assembly (see 
pages 220 -221 ). 



67 



Law Enforcement Commission 



Financial Guidelines 



Initial Publication in Illinois Register: March 10, 1978 

Joint Committee Objection: April 18, 1978 

Specific Objections: 

Proposed Chapter I, Rule 4, prescribes the standards and 
objectives of "Audit Coverage" pertaining to the review and 
evaluation of financial practices of grantees receiving 
financial assistance from the Commission. It contains no 
provision, however, providing for the imposition by the 
Commission of any sanction or limitation upon grantees 
discovered to be in violation of such standards or objectives. 

The Joint Committee objects to this proposed Rule 4 of 
Chapter I because it fails to contain sufficient safeguards 
against irregularities in financial practices of grantees. 

Date Agency Response Received: June 28, 1978 

Nature of Agency Response: Modified 

Law Enforcement Merit Board 

Rules, Regulations and Procedures 

Initial Publication in Illinois Register: June 23, 1978 

Joint Committee Objection: July 26, 1978 

Specific Objections: 

The Joint Committee objects to these proposed Rules, 
Regulations and Procedures for two reasons. First, these 
rules were proposed under the title "Department of Law 
Enforcement Merit Board", while the current statutory title 
is "State Police Merit Board". Although the Board was given 
jurisdiction over the former Illinois Bureau of Investigation 
officers during the 1977 reorganization, the title of the 
Board was not changed in statute. Thus, under the title used 
by the Board, the Board does not have statutory authority 
for proposing these rules. 

The Joint Committee also objects to these proposed rules on 
the basis of two provisions which are unnecessarily vague 
and could deprive candidates and officers of equal 
treatment. The first is the use of the vague phrase 
"background investigation as prescribed by the Board" in 
Section 2-1, paragraph (h). The Board has failed to provide 
the specific background information which will be 



58 



considered or the criteria on which such information will be 
delineated. The rules also make no provision for maintaining 
the confidentiality of information obtained during such 
investigations. This lack of clarity and adequate procedural 
safegrounds could result in serious violations of applicants' 
rights. 

The other provision which is unnecessarily vague and could 
result in violations of officers* rights relates to promotional 
competitions. The proposed rules provide that the Board can 
set "the percentage weight to be applied to each 
promotional factor" (Section 4-3, paragraph (c)), but fails to 
provide the criteria to be used by the Board in setting such 
weightings. The provision also fails to ensure uniformity in 
weightings between competitions and thus could result in 
unequal treatment of officers for promotion. 

Date Agency Response Received: August 15, 1978 

Nature of Agency Response: Withdrawn 

Rules of the Merit Board (Redrafted) 

Initial Publication in Illinois Register: October 27, 1978 

Joint Committee Objection: November 14, 1978 

Specific Objections: 

1. Proposed Section 3-1 which includes "Deputy Super- 
intendent" and "Special Agent VII" under ranks of 
sworn officers should not include these "special assign- 
ments", as they do not affect the individual's rank 
according to section 3-2. 

The Joint Committee objects to this proposed section 
because it is in violation of the Board's statutory authority 
in regard to "rank" as set forth in Section 8 of "An Act in 
Relation to the State Police", 111. Rev. Stat. 1977, ch. 121, 
par. 307.8. 

2. Proposed Section 4-3, paragraph (e), which states, in 
part, "(t)he Board shall specify in the promotional 
announcement each of the factors to be included in the 
promotional process and the weight to be applied to 
each factor and considering the number of vacancies 
projected, indicate the percentage of those eligible in 
each rank that will be certified." 

The Joint Committee objects to this proposed section 
because Proposed Section 4-3, paragraph (3) fails to set 
forth adequate standards to govern the Department's 
exercise of discretion with regard to the criteria the Board 
will use in establishing the "weight" to be applied to each 
promotional factor. 



69 



The policy of the Department of Law Enforcement Merit 
Board in this area constitutes a "rule" as that term is 
defined in the Illinois Administrative Procedure Act under 
Section 4(c) of the Act, 111. Rev. Stat. 1977, ch. 127, par. 
1004(c), "(n)o agency rule is valid or effective against any 
person or party, nor may it be invoked by the agency for any 
purpose, until it has been made available for public 
inspection and filed with the Secretary of State as required 
by this Act." 

Date Agency Response Received: Response Pending 

Pollution Control Board 

Rule 204: Sulfur Dioxide Emissions 

Initial Publication in Illinois Register: June 16, 1978 

Joint Committee Objection: July 26, 1978 

Specific Objections: 

The proposed amendments to Rule 204(c)Q)(B)(i) and (ii) 
prohibit the emission of Sulfur Dioxide (SO ) from a solid- 
fuel burning source outside the Chicago, St. Louis and Peoria 
Major Metropolitan Areas (MMA's) in Illinois to exceed 6.8 
pounds of SO per million BTU of actual heat input "and the 
emission limit provide by Rule 204(e)". 

The Joint Committee objects to this proposed amendment to 
Rule 204 because it is extremely vague and confusing, as it 
fails to clearly specify the relationship between the two 
types of limitations imposed upon SO emissions. 

Date Agency Response Received: No Response 

Nature of Agency Response: Withdrawn by Law 

Prisoner Review Board 

Proposed Rules 

Initial Publication in Illinois Register: September 22, 1978 

Joint Committee Objection: October 19, 1978 

Specific Objections: 

1. The notice of proposed rulemaking published in the 
Illinois Register, Volume 2, Issue 38. 



The Joint Committee objects to this proposed rulemaking 
because the notice did not meet the requirements of the 
Illinois Administrative Procedure Act, 

Ill.Rev.Stat.l977,ch.l27,par.l001 et seq. Section 5(a)l of 
the IAPA requires each agency prior to the adoption of any 
rule, to publish a notice of proposed rulemaking containing, 
inter alia, "the time, place and manner in which interested 
persons may present their views and comments concerning 
the intended action." The notice did not contain this 
information, and, pursuant to Section 5(c) of the IAPA, 
Board action to adopt these rules would be invalid. 

2. Section II D of the proposed rules which states: 

Youth committed under the 3uvenile Court Act 
are first eligible for parole at the discretion of 
the superintendent of their facility. 

The Joint Committee objects to this proposed section 
because it conflicts with Section 3-3-3(e) of the Unified 
Correction Code, Ill.Rev.Stat.l977,ch.38,par.l003-3-3(e), 
which provides that every person committed to the Juvenile 
Division "shall be eligible for parole without regard to the 
length of time the person has been confined or whether the 
person has served any minimum term imposed." The Board 
has no authority to adopt such a rule. 

Date Agency Response Received: Response Pending 



Racing Board 

Re-numbering Harness and Thoroughbred Rules 

Initial Publication in Illinois Register: October 13, 1978 

Joint Committee Objection: November 14, 1978 

Specific Objections: 

Rule B2.04 Time of Filing: 

This rule establishes the deadline for filing applications for 
concessionaire's license. The last paragraph states "(t)he 
Board may, in its discretion, upon good cause shown receive 
applications for an occupational license to operate as a 
concessionaire at a date subsequent to the dates specified in 
this rule." 



71 



The Joint Committee objects to this proposed rule because 
it does not reflect the Board's actual policy, as the Board 
has yet to refuse to consider an application because it was 
filed after the deadline. 

Date Agency Response Received: Response Pending 



State Scholarship Commission 
Proposed Regulations 

Initial Publication in Illinois Register: June 30, 1978 
Joint Committee Objection: July 26, 1978 
Specific Objections: 

1. Proposed Rule 1.13, which sets as a goal fixed quotas 
for advisory committee membership based on race and 
sex. 

The Joint Committee objects to this proposed rule because 
the Commission is mandated by law to exercise its powers 
without regard to race or sex. 

2. Proposed Rule 4.08, which states: 

"Rule 4.08 Educational institutions shall be 

approved as lenders in IGLP if 
approved by the Office of Education 
and ii they meet other specific 
criteria." 

The Joint Committee objects to this proposed rule because 
the criteria referred to constitute rules as defined in the 
Illinois Administrative Procedure Act and should be adopted 
pursuant to that Act. 

3. Proposed Rule 4.74, which states: 

"Rule 4.74 IDAPP will purchase loans only from 

those Lenders who have no 
inappropriate relationships with the 
educational institutions certifying the 
loan." 

The Joint Committee objects to this proposed rule because 
it does not contain the Commission's policy as to what it will 
consider to be an "inappropriate relationship". 

Date Agency Response Received: October 30, 1978 

Nature of Agency Response: Modified 



Board of Vocational Rehabilitation 

Proposed Rule 00004 

Initial Publication in Illinois Register: May 26, 1978 

Joint Committee Objection: June 16, 1978 

Specific Objections: 

This proposed rulemaking has been taken without express 
statutory authority to make rules. It is the policy of the 
Joint Committee at this time that an agency must have 
express authority from the legislature to make rules. 

The Joint Committee objects to this proposed Rule 00004 
because the Board of Vocational Rehabilitation is presently 
without express authority to make rules. 

Date Agency Response Received: August 14, 1978 

Nature of Agency Response: Refusal 

The Joint Committee is recommending specific legislation in 
response to this rulemaking (see Recommended Bill Twenty-Two, 
pages 213- 216 )• 



73 



PROCEDURAL LEGISLATION 

In reviewing proposed rulemaking actions of state agencies, the Joint 
Committee encountered a number of procedural problems which necessitated 
amendments to the Administrative Procedure Act. Some of these problems were of 
a transitional nature and can probably be resolved simply as more experience is 
gained both by administrative agencies and the Joint Committee in handling 
provisions of the Act. 

Some of the minor procedural difficulties were corrected in House Bill 15 
(Public Act 80-1457) such as the requirement for compilations of agency rules in 
Section 7(a), the need for a uniform codification system, and the quorum require- 
ment for Joint Committee hearings. These relatively minor procedural changes 
were incorporated with the revisions in the definition of agency and exemptions for 
certain university procedures into House Bill 15, which is included in this report as 
Appendix D. Some of these procedural changes, particularly the development of a 
uniform codification system by the Secretary of State, should result in substantial 
improvements in the rulemaking process. 

Two major procedural difficulties became obvious to the Joint Committee: 
(1) rules were being proposed in a very tentative form and since the Joint 
Committee hearing on proposed rules often take places before the end of the public 
comment period, the Joint Committee was often forced to review proposed drafts 
of rules with no assurance of the final form of the rules; and (2) even after review 
by the Joint Committee, agencies could make substantial changes to the rules, 
effectively escaping Joint Committee review entirely. To address these procedural 
deficiencies of the rulemaking process, the Joint Committee proposed changes that 
were embodied in House Bill 16. These changes would have separated the public 
comment period from the Joint Committee review by creating a second 45-day 
notice period reserved for review by the Joint Committee of proposed rulemaking 
actions. House Bill 16 would also have prohibited agencies from making additional 
changes after the Joint Committee review except in response to specific 
suggestions or objections raised by the Joint Committee. These major changes as 
well as the other minor changes included in House Bill 16, would have corrected the 
perceived deficiencies and insured a strong and effective legislative role in the 
review process. 



75 



The General Assembly passed House Bill 16, but it was ammendatorily 
vetoed by the Governor. The suggested changes in the amendatory veto message 
eliminated several of the key elements of the legislation and the members of the 
Joint Committee felt that the suggested changes were unacceptable to accomplish 
their purposes. After extensive discussions with representatives of the Governor, 
the Joint Committee agreed to let House Bill 16 die and to work with the 
Governor's office in developing legislation that would be mutually acceptable and 
could be introduced on an emergency basis in 1979. This legislation is currently 
under development and should be formally recommended by the Joint Committee 
and introduced early in the 1979 session of the General Assembly. 

The Joint Committee is continuing to seek methods to insure the strong and 
effective involvement of the legislature in rulemaking while maintaining the 
integrity of both the administrative rulemaking process and the proper legislative 
role of lawmaking. 



IMPLEMENTATION OF EXISTING RULES REVIEW 



Under the Illinois Administrative Procedure Act, the Joint Committee is 
authorized to examine any existing rule (Section 7.07) and is also mandated to 
conduct a systematic evaluation of all state agency rules by subject area on a five- 
year basis (Section 7.08). Both of these sections impose wide-ranging and 
substantial responsibilities on the Joint Committee. In setting its initial 
implementation priorities, the Joint Committee recognized the necessity of careful 
planning in approaching these tasks and determined that more effective utilization 
of resources could be accomplished by concentration during 1978 on the review of 
proposed rulemaking, instead of beginning reviews of existing rules under either of 
these authorizations. The Joint Committee has thus done little actual review of 
existing rules during 1978, but has begun the extensive planning process which was 
considered essential to the proper implementation of these sections. 

From the initial planning accomplished to date, it appears that the Joint 
Committee will implement during 1979 two programs involving review of existing 
rules. The first of these programs will be the mandated five-year periodic 
evaluation program. The second program involving review of existing rules will be 
reviews based on specific complaints by individuals or groups affected by agency 
rules. Although the Joint Committee is authorized by Section 7.07 to "examine any 
rules for the purpose of determining whether the rule is within the statutory 
authority upon which it is based, and whether the rule is in proper form," it appears 
that the Joint Committee will limit its use of this authority initially to situations in 
which the public complains about an agency's rules. The Joint Committee believes 
that this will be the most effective way to utilize its staff resources and 
concentrate on rules with broad public effects. Based on such complaints, the Joint 
Committee will review such rules to determine whether they are within the 
statutory authority of the agency. 

During the planning process for the implementation of these programs, the 
staff of the Joint Committee has actively sought a wide range of input. The staff 
members assigned to the Compliance and Monitoring Section have conducted 
investigations of several other states, particularly Florida, in which the state 
legislature has initiated a program of legislative review of existing state agency 



77 



rules. Although most state programs concentrate on the review of newly proposed 
rulemaking, the Florida experience and the experiences of several other states have 
provided valuable information for designing an effective review program for the 
Joint Committee. 

The planning process has also involved seeking input from the academic 
community, private groups, other legislative agencies, and state administrative 
personnel. A series of roundtable discussions focusing on issues of particular 
concern to these various groups has provided detailed information on effective 
methods and approaches for the Joint Committee. Among the basic issues this 
planning project has sought to answer are the following questions which formed the 
basis for this information-gathering process: 



I. Basic Threshhold Policy Issues 

1. What should be the proper scope of JCAR's reviews of existing 
administrative rules? Should they be solely concerned with 
compliance of rules with statutory authority and legal provisions 
or also investigate actual agency operations for compliance with 
rules or utilization of unstated policies? 

2. What should be the relationship between JCAR's reviews of rules 
and fiscal oversight functions of the legislature? 

3. What changes might result in administrative law doctrines as a 
result of initiation of legislative review of administrative rules, 
particularly concerning issues such as inherent rulemaking 
authority of agencies and subdelegation of rulemaking authority? 

k. What constraints will affect the extent of JCAR's review of 
existing administrative rules? What, for example, is the effect 
on JCAR's power of the doctrine of separation of powers, the 
concept of statutory mandates and legislative intent, and 
conflicts in the law authorizing an administrative agency? 

5. What should the JCAR's basic philosophy of rules review include? 
Should the JCAR substitute its substantive opinions for those of 
the agency or refrain from such substitution? Should the JCAR 
be as restrictive in its scope as courts? 

II. Initiation Issues 

1. What degree of cooperation can be expected from administrative 
agencies during reviews of an agency's rules? What types of 
problems will be encountered by agencies in dealing with a 
review of their rules and how can these problems be minimized? 



2. What types of problems might result for agencies in responding 
to and implementing recommendations resulting from review of 
their rules? 

3. What kind of on-going interaction and exchange should be 
maintained with an agency during a review of the agency's rules? 
How can the proper type and degree of interaction be 
formalized? 

k. Can problems regarding confidentiality of certain agency 
information be anticipated? How can these problems be dealt 
with? 

5. Since the JCAR is mandated to review existing rules on a subject 
area basis (IAPA, Sec. 7.08a), how can rules concerning each 
subject be located and grouped? How well will operating units 
within agencies correspond to these subject classifications? 

6. Could subject areas by effectively grouped in devising a 
timeframe or should each be scheduled individually? 

7. What interaction can be anticipated and would be appropriate 
with special private interest groups concerned about an agency's 
operations during the review process? How should the interac- 
tion differ in the periodic review program and in the special 
complaint reviews? 

8. How and at what point in the review process should expert advice 
on particular technical issues be obtained? 

9. What kind and degree of field investigation will be required of 
JCAR staff during reviews of administrative rules? What degree 
of independence from agency information should the JCAR 
maintain in ascertaining facts relevant to the evaluation of 
agency rules? What sources of information should be utilized? 

10. What particular kind of expertise will be needed for JCAR staff 
in these existing rules review programs? What types of training 
will be necessary? 

11. Should a team approach be utilized on the periodic review 
program or would an expertise or subject area allocation be more 
effective? How will JCAR staff configurations influence 
interaction with agencies during the review process? 

III. Priority and Policy Issues 

1. What should be the comparative scope of the periodic review 
program as opposed to the special reviews? Should both 
programs be equally broad, or should the special reviews be 
restricted to exclude field investigations? 



79 



2. How can priorities between the periodic review program and 
special reviews be established and maintained? 

3. What priorities should be established regarding procedural or 
structural recommendations (IAPA, Sec. 7.08b)? How can 
procedural or structural recommendations be presented to 
agencies effectively? 

k. How should the bulk and nature of recommendations from the 
period review process differ from special reviews? 

IV. Operational Issues 

1. How should frivolous complaints regarding agency rules be 
handled? Should a formal complaint procedure be established to 
insure uniformity in consideration of complaints? On the basis of 
what criteria should complaints be evaluated as a basis for 
initiating special reviews? 

2. How should statutory inconsistencies and conflicts in the law be 
handled during reviews of rules based on the statute or law? 

3. How can the economic impact of rules be effectively measured? 
What economic models should be utilized in this process? How 
can other impacts of rules be measured and evaluated? What 
program evaluation techniques be appropriate in specific 
instances? 

4. How should interagency conflict be dealt with during reviews 
involving more than one agency? How should interunit conflict 
within an agency be dealt with? Should the rules review process 
deal with only central agency personnel? 

5. When will public hearings be appropriate during reviews of an 
agency's rules? How should such public hearings be conducted 
and the resulting input utilized in the review process? 

6. What policy should govern the issuance of subpoenas during the 
course of a review? 

7. How can agency reaction to recommendations be systematically 
collected and presented to the Joint Committee? Would written 
responses or oral testimony be most appropriate? 

8. What cooperation with other legislative agencies would be useful 
to the rules review process? 

The Joint Committee staff has collected a wide range of input on these 
comprehensive issues and is currently developing a summary and proposal to be 
presented to the Joint Committee for implementation of the existing rules review 
programs. It is anticipated that the five-year periodic evaluation program will be 



operational by July 1979, following adoption by the Joint Committee of policies and 
procedures for the program and the schedule of subject areas and agencies 
mandated under Section 7.08(a) of the Administrative Procedure Act. 

A number of complaints concerning specific agency rules have been received 
by the Joint Committee during 1978. Although the Joint Committee will probably 
not initiate a comprehensive program for handling such complaints until the spring 
of 1979, the Joint Committee staff has conducted some spot checks of rules and 
initiated inquiries to obtain information necessary to provide some preliminary 
answers to these complaints during 1978. Approximately thirty such brief reviews 
based on public complaints have been conducted during the year on a wide range of 
issues involving the effect on the public and the legal authority of agency rules. 

Although the proper implementation of these existing rules review programs 
is one of the most difficult problems the Joint Committee is currently facing, the 
Joint Committee believes that this is one of its key duties in insuring the proper 
development of rules over time. It provides for the type of broad and compre- 
hensive review which has the potential of raising the Joint Committee's impact on 
rulemaking from the purely procedural level to having a direct impact on the 
substantive policy embodied in agency rules. The proper implementation of the 
five-year evaluation program has the potential of recommending substantial reduc- 
tions in the number of overlapping and conflicting rules, streamlining rules for 
easier access and understanding by the public, and suggesting procedural and 
organizational changes to improve the quality of the rulemaking process in Illinois. 
These are among the basic goals of the Administrative Procedure Act and the 
creation of the Joint Committee. 



81 



COMPLIANCE ACTIVITIES 

Monitoring compliance of state agencies with the requirements of the 
Administrative Procedure Act has been a concern of the Joint Committee. The 
Joint Committee has worked closely with the Office of the Secretary of State in 
developing procedures for rulemaking and insuring that agencies are properly filing 
and publishing proposed and adopted rulemakings, 

General compliance activities have included memos to all state agencies 
concerning the requirements of the Administrative Procedure Act, and changes in 
the Act. The Joint Committee staff has met with numerous agencies to discuss 
how the agency can more effectively accomplish the goals of the Act as well as 
informing them of the procedural requirements. 

Two specific instances of compliance activities should be discussed in some 
detail. These involve the state universities and the Northeastern Illinois Planning 
Commission. 

State Universities 

The Board of Trustees of the University of Illinois contended after passage 
of the changes in House Bill 14 (Public Act 80-1035) amending the Administrative 
Procedure Act that state universities were not covered by the Act. The arguments 
of the Board centered on the definition of "agency" in Section 3.01 of the Act. The 
Joint Committee discussed this issue extensively with the Board and other state 
universities. The Joint Committee requested an Attorney General's opinion on the 
question. The Attorney General issued his opinion on June 29, 1978, finding that 
the Board was covered by the definition of agency in the Administrative Procedure 
Act and was thus subject to the provisions of the Act. The opinion is included as 
Appendix E in this report. 

Recognizing the difficulties of the various state universities in complying 
with some of the requirements of the Administrative Procedure Act in specific 
circumstances, the Joint Committee supported legislation to specifically exempt 
some types of proceedings from the requirements of the Act. These exemptions 
were primarily designed to alleviate difficulties with the hearing requirements of 
the Act, although some of the exemptions also relate to the rulemaking require- 



83 



ments. The specific amendatory language which was passed as part of House Bill 
15 (Public Act 80-1457) exempted "as to State colleges and universities, their 
disciplinary and grievance proceedings, academic irregularity and capricious 
grading proceedings, and admission standards and procedures." The language of the 
definition of agency was also amended in House Bill 15 for clarification. House Bill 
15 as enacted is included as Appendix D in this report. 

Northeastern Illinois Planning Commission 

As a result of a request by Mayor Nicholas B. Blase of Niles, Illinois, the 
Joint Committee initiated an inquiry to determine whether the Northeastern 
Illinois Planning Commission was subject to the requirements of the Administrative 
Procedure Act. The Joint Committee believes that the commission is covered by 
the definition of agency in Section 3.01 of the Act and is therefore subject to the 
requirements of the Act. The commission has opposed this position, arguing that 
the advisory nature of the commission's functions and the lack of legal precedent 
classifying the commission as a state agency indicates that the commission would 
not be considered an agency under the Administrative Procedure Act. The 
commission therefore does not believe it is subject to the requirements of the Act. 

The Joint Committee requested an Attorney General's opinion on this issue. 
No formal opinion was issued but a letter from the Office of the Attorney General 
to Chairman Yourell of the Joint Committee, dated September 27, 1978, indicated 
that the office does not consider the commission to be subject to the 
Administrative Procedure Act. The Joint Committee has renewed the request for 
an official opinion from the Attorney General and raised the further question of 
whether the amended definition of agency included in House Bill 15 (Public Act 80- 
1457) would change the status of the commisison under the Act. The language of 
this amended definition is included in Appendix D of this report. 

At the October 1978, hearing of the Joint Committee, representatives of the 
commission and the members of the Joint Committee discussed the issue of the 
coverage of the commission under the Administrative Procedure Act in some 
detail. The discussion at the hearing also concerned the further issue of, regardless 
of the legal question of the coverage of the Act, should the commission be covered 
under the Act as a matter of policy. Both the legal issue and the policy issue are 



unresolved, but the Joint Committee is continuing to examine the issues involved 
and to aid in clarifying the coverage of the Act. 



85 



LEGISLATIVE RECOMMENDATIONS 



Suggested Amendments to the Illinois Administrative Procedure Act 

The Joint Committee is recommending two specific changes in the Illinois 
Administrative Procedure Act to solve procedural problems and to clarify some of 
the requirements of the Act. 

As indicated in the section of this report discussing procedural legislation 
considered during 1978 (pages 75 - 76 ), the Joint Committee will recommend 
legislation during 1979 to change the rulemaking process in a manner similar to the 
amendments to House Bill 16 proposed during 1978. The most crucial provision of 
the bill is the separation of the Joint Committee review and the public comment 
period. This will insure that the Joint Committee is reviewing the final form of the 
rule and also allow the Joint Committee to guage the responsiveness of agencies to 
public comments. 

Recommended Bill One presented on the following pages would clarify the 
requirement that agency rules fully state the standards and criteria utilized by an 
agency in exercising its discretion. The position paper on the provision of standards 
and safeguards for exercising discretion in agency rules contained in Appendix C 
provides the legal and practical background for this requirement. Although the 
statement of standards and criteria may be implied in the Act, the Joint 
Committee believes that an explicit statement of this requirement would be 
valuable. 



87 



RECOMMENDED RII.IONIF 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
INTRODUCED BY 



SYNOPSIS: (Ch. 127, new par. 100-1.02) 

Amends the Illinois Administrative Procedure Act. 
Requires administrative agencies to include as part of their 
rules the standards governing the exercise o5 agency 
discretion. 



LS38103001«Rpk 

FcalKcto-« 



A BILL FOR 



89 



1 -•"< ACT to add Section 4.02 to "Ine Illinois 

2 Administrative Procedure ice". appraveo Septemoer 2c, 1 * 7 3 , 

3 as amended. 

*• _-_i--____________._o____ _______ _Q_ — _____ a_ _________ 

> _-__£__ _t ____________:__ ______jl_!T____ 

6 Section 1. Section 4.02 is aJdeo to "Ine Illinois 

7 Administrative Procedure Jct'i approved Septemper 22, IW3, 
6 as amended, tne aaaeo Section to read as follows: 

(Cr>. 127, new par- 1004-02) 
' _______--__________'___S____>______X_______________________ 

I J _________:_ — _ne ejerosj o_ ______ re_i___r ___2_________.__>_ 

1 1 __Q_I_____aQ_a_______0a______L____2____-_-_-_-_-_- _________ 

1 2 gfive r _i_g — the ___L_ii___g£ 1 _a_ d____.___Q_______»_r______ 

1 * iiancargs_snaU_Ee_iLLitten_-.itn_suilic.ians. ____i_yia_i__ __ 

1*. ___>___£ — ___________e__._____liD__!________>____________.___._____ 

1 » _>__________ ________ _____i_fl_s____t _on____t _____£____ 



90 



Suggested Legislation from Proposed Rulemaking Reviews 

Each of these recommended bills addresses a specific difficulty discovered 
during the review of proposed rulemaking by an agency. In some cases, the Joint 
Committee did not formally issue a statement of objection to the proposed 
rulemaking, but agreed to suggest legislation to remedy perceived statutory 
problems. In other cases, the recommended legislation is the direct result of a 
statement of objection which the agency has responded to by refusing to withdraw 
or modify the proposed rulemaking. Recommended Bills Two through Twenty-Two 
are presented with summaries on the following pages. 

Although most of the recommended bills deal with specific situations, 
several of these bills deserve special attention because of their nature and impact. 
Recommended Bill Eight (pages 127- 134 ) would amend an important section 
which provides authority to the Department of Public Aid to bar medical vendors 
from receiving payments for services from the Department's programs. The 
statute provides detailed safeguards to protect vendors from arbitrary or 
unreasonable action by the Department, but the Department's rules failed to 
provide standards and criteria in the crucial situation of withholding payments 
while the hearing is pending. The Department also failed to define who would be 
covered by a crucial term. The recommended bill addresses both of these 
deficiencies by requiring more detailed rules by the Department in these two areas. 

Another particularly important bill concerns the licensure of home health 
agencies by the Department of Public Health. Recommended Bill Twelve 
(pages 151 - 158 ) amends the Home Health Agency Licensure Act by clarifying the 
scope and extent of the requirements which can be imposed by the Department of 
Public Health. The amendments do not destroy the statute by eliminating 
regulation, but they will provide a clearer statment of the intent of the legislature 
in passing this Act. The Joint Committee staff in developing this legislation 
reviewed the hundreds of comments received by the Department from affected 
public agencies, private health care providers, other interested groups, and the 
general public. 

A different type of situation is addressed by recommended Bill Nineteen 
(pages 199-202)* In this case, the Joint Committee found in reviewing rules 



91 



proposed by the Illinois Office of Education that there was no adequate 
enforcement mechanism for the requirement that school bus drivers have special 
driving permits. The regulation was ineffective because the enforcement fell in 
the cracks between several agencies: State Board of Education, regional school 
superintendents, the Department of Transportation, the Secretary of State's office 
and local school boards. This bill will provide the necessary authority for 
enforcement of the regulation. 

Several of the other recommended bills provide explicit rulemaking 
authority to agencies where such authority appears necessary to adequately fulfill 
the agency's statutory tasks. Recommended Bill Eighteen (pages 193- 197) 
provides explicit rulemaking authority to the Attorney General in relation to 
issuing opinions and Recommended Bill Twenty- Two (pages 213- 216) provides 
explicit rulemaking authority to the Division of Vocational Rehabilitation. The 
Joint Committee has also considered the possibility of comprehensive revisory 
legislation to clarify the numerous delegations of rulemaking authority which 
appear throughout the statutes, and provide rulemaking authority in cases such as 
these where such authority seems desirable. 

Another group of these recommended bills address situations where an 
agency has failed to state the standards and criteria involved in exercising an 
agency's discretion. The importance of the statement of such standards and 
criteria is indicated in the Joint Committee position paper on this issue in Appendix 
C. Recommended Bills Five (pages 109-113 ) and Six (pages 115- 122) would 
explicitly require the Department of Insurance to state its standards and criteria in 
relation to levying fines on pension systems and approving exceptions to minimum 
standards of individual accident and health insurance policies. Recommended Bill 
Thirteen (pages 159- 153) addresses a similar situation in relation to the 
Department of Revenue's administration of the Bingo License and Tax Act. The 
Department's rules failed to state the criteria or standards on which several agency 
determinations would be made. Recommended Bill Thirteen would specifically 
require the statements of those standards and criteria in these instances. These 
bills are closely related to the general requirement that is proposed in 
Recommended Bill One (pages 89 - 90 ) as an amendment to the Illinois 
Administrative Procedure Act. 



n 



RECOMMENDED BILL TWO 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Agriculture 

PROPOSED RULEMAKING: Regulation XVa, Cattle from Certain Designated 
Areas (Proposed August 25, 1978) 

BACKGROUND: The Department's proposed rule was intended to control the 
spread of cattle scabies, by restricting importation of cattle into the state 
from designated disease areas. The rules allowed the Director to designate 
the areas, which appeared to technically conflict with the statutory require- 
ment that the Governor "schedule" such areas by "proclamation." The Joint 
Committee did not formally object to the rules, since it was felt that the 
policy of requiring the Governor's personal involvement was unnecessary, but 
expressed the need for statutory changes to establish this authority with the 
Director of the Department. 

SUMMARY OF LEGISLATION: This amendatory language would shift the 
authority for designation of disease areas from the Governor to the Director 
of the Department of Agriculture, who for all practical purposes currently 
performs this function. The amendment will clarify the process and the 
relationship between such designation and the Department's rules. 



93 



RF.COMMFMnFnRTTI TWQ 



INTRODUCED . 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
BY 



SYNOPSIS: 



(Ch. 8, par. 177) 



Amends an Act relating to diseased animals by 
transfering the authority to prohibit the imoortation of 
diseased animals from the Governor to the Director of the 
Department of Agriculture of the State of Illinois. 



LRB8102936BDakA 



Rwal Woh Act 
mz/ i-: ;r?':-sb!s 



A BILL FOR 



95 



LRB8102936BDaK 



1 AN ACT to amend Section 10 of "An Act to revise trie law 

2 in relation to the suppression, prevention anO extirpation of 

3 contagious and infectious diseases among animals"? approved 
* July 23, 19<.3. as amended. 



-£ L- g_a_ £ _.-_5_:-___g _g gg__e__ - -E-g-- - __.g _0-f— LliiGg J 

-_ p _e_ented in the C-eneral Assembly: 



Section 1. Section 10 of "An Act to 
relation to the Suppression, preventic 
contagious and infectious diseases among 



se the law in 

id ext i rpat i on of 
imal s" , approveo 



July 23, 19<.3. as amended, is amended to read as follows: 

(Ch. 8, par. 177) 

Sec« 10. The Dep artment may_ promulgate and adoo t 

___._o_a._l_ __yles oresc r i bi n o ent r v __.____re,_e nt s and 

£.50.211 _<__._ governing., the i mpor tation of animals, carca sses , 

gort ions of carcasses, hay, straw, Lodde ___________ mater i a 1 

capable, of. conv eyin g i nf ect i o n, to prevent th e spread o f 

_o___oJ.____o__i_f___i_us__i_e_i__.__i__o_liLi___s_ S__h rule* 

_ h ._U-___-_a_oi_ed o_l_ to _n__a____c_r _as_g____fl__ie___fl_ 

____________a______.________e___Q_____g_____£ri_is^^ et 

cgnv_y_i_n_ i.Q.lg__ i_n. _r_m an_ __h_r ___X£l _£_._! ______ 

district, provjnce or countryt or portion thereof, which _ng 

_L______ _____g_i_Q__e__ Such designation snail be oa.ed on 

information that a c ontagi ous or infectious diseas e e xists in 
_0* __?__:____ _______e__Lt_r_______.__C_______i_C£_e__ce____^ 

____i_n_the_eof ___fl_ tjhat th e cp ndi t i on ef. an_ a ni ma 1 S , 

___.____.__.: ____i_n_ of ca rcas ses, hay, straw, fogoer, ang 

°t?;?X.__ateriais_cap.a_ie_of _c.onve.iLng i_i_c _ie____e_in_____Q_ 

__£_ an area _r__o t_l___j__ig_i__S________i_Ul____a___._ih_m 

l_a_l_____ — _onv_y _njt _u_n disease. _h_ __________ 

og_io nation — shall — _g_____e _£_£__£ d _______i_n_s__f i__i_n_ 

____i_i9____o___n__r_ — _U _________ e_r___.s is t__ 

_______ _!__.] ___".___!__ of _J__h_a_eas_ a _gg_ai.__nfl__c.__ef. 

______« _l____i______i______a_v_Q _Q _U al______ D__Ii___ 



96 



LRBdlU<>v33dO£ 



1 1 etna k i no ur 



2eC_tt!ii_SiCtiori_j_s_suO ject_s.o_tne_Qrgvisi.gni_qt. 



the. Ill 



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ti-jB4-*--t4--t»»»e»-d«r-*»eh-»fiee»e»-he-**yT-8T-6<'8et'=»st'9flT 
S6h*j»v*— s»eR--si»ter— tei>f+t»fyr— «»sifi-ett p^e*+»ee a* 

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S'-ettf-i-Be3-9y-»he-&epap»iiient-dfli-aesr5»ee-i)r-t«*-3e»trnofT 



97 



RECOMMENDED BILL THREE 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Children and Family Services 

PROPOSED RULEMAKING: Rule 8.01 Safeguarding Personal Information in 
Case Files (Proposed April 14, 1978) 

BACKGROUND: These rules were intended by the Department to insure special 
safeguarding of personal information contained in case files. The Joint 
Committee objected to the rules at its May 1978 hearing and stated four 
specific objections (see pages 26 - 27 ). The Department modified the 
rules to meet three of the objections. The remaining point of objection 
concerns the scope of coverage of these provisions. The Department has 
included records of persons who apply for services and who are subject to 
licensing by the Department as well as the apparantly directly intended 
persons who are receiving services from the Department. The Joint 
Committee believes this extension of these special privacy rules is in 
violation of the statutory provisions (111. Rev.Stat.l977,ch. 23, par. 5035.1). 

SUMMARY OF LEGISLATION: This legislation would clarify the statutory 
language regarding the scope of coverage of the special records privacy 
provisions of the Department, specifically excluding from coverage persons 
who apply for services and persons subject to licensing by the Department. 
This merely clarifies the apparant legislative intent. 



9<> 



RECOMMENDED BILL THREE 

, 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
INTRODUCED __ -. BY 



SYNOPSIS: (Ch. 23, par. 5035.1) 

Anends An Act relating to the Department of 
Children and Family Services. Excludes records of persons 
who apply for and are denied services and persons subject to 
licensing by the Department, as well as the Department's own 
administrative and fiscal records, from confidentiality. 

LRB8102994ALJS 



A BILL FOR 



101 



LR88 10 299AAL js 



* c t c ea t i ng the 
ces, cooifying its 



1 AN ACT to amend Section 35.1 of 

2 Department of Children and Family S 

3 powers and duties, and repealing certain Acts and Sections 
<. herein named", approved June <. , 1*563, as amended. 



Be j_t enacted__by_ the People o f the St ate of 

;pr esented i n the Ge nera l Assembly : 



Section 1. Section 35.1 of "An Act creating tne 
Department of Cniloren and Family Services, cooifying its 
powers and duties, and repealing certain Acts and Sections 
herein named", approved June <. . 1963. as amended, is amended 
to reao as follows: 

(Ch. 23, par. 5035.1) 

Sec. 35.1. The case and clinical records of patients in 
Department supervised facilities. wards of the Department, 
children receiving child welfare services, persons receiving 
other services of the Department, and Department reports of 
injury or abuse to children shall not be open to the genera) 
public. Such case and clinical records and reports or the 
information contained therein shall be disclosed by the 
Director of the Department only to proper law enforcement 
officials, individuals authorized by court. the 111 inois 
General Assembly or any committee or commission thereof, and 
to such other persons and for such reasons as the Director 
shall designate by rule or regulation. This Section does not 
apply to the Department's fiscal records, other records of a 
purely administrative nature, records concer ni_ng Demons. 

^.beLx lh° t°r.__byt notJiii'iiiL r ;g-0 , iE3 r .ti , it!i_ieLucesi_c!r_aQi 

forms; documents or other records center n^ng Be.r_s.Qns Qr 

I«lcL!LALes___subiec_l__tg__lJ_cej!S__ncj by._t he _D_£P.a.r t_m£nj_ or-*a<rh 

Gepatvi^ent-— ee">pVete«-foi*n-s-o«<5-«ee »«fnts -os-« , ay--be--osea--OT 
the Beparl»>enV — -»n--e«dirtninq--ef--e»6)bdtrn_--fhrV8--cart 



102 



RECOMMENDED BILL FOUR 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Conservation 

PROPOSED RULEMAKING: Article II, Hunting of White-Tailed Deer (Proposed 
March 17, 1978) 

BACKGROUND: The Department's proposed rule would exclude non-residents of 
Illinois from obtaining hunting licenses for deer hunting in Illinois. In the 
April 18, 1978, hearing before the Joint Committee, the Department 
admitted that had no express statutory authority for this provision and also 
indicated that it might be challenged under federal constitutional provisions. 
The Joint Committee indicated that it agreed with the policy behind the rule 
and suggested statutory changes to provide authority for the provision. 

SUMMARY OF LEGISLATION: This legislation would not prohibit non-residents 
from obtaining Illinois deer hunting licenses, but would establish differential 
fees for residents and non-residents. The intended effect would be to 
discourage non-residents from attempting to obtain Illinois deer hunting 
licenses. 



10 ^ 



RF.COMMFNinFn RT1 I FOl IP 



INTRODUCED. 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
BY 



SYNOPSIS: {C h. 61, par. 2.26) 



Amends the Game Code of 1971. Raises the deer 
hunting permit fee for non-residents to $50. 



LRS8102933ASj\ 



fiscal iVo.'s ,\ct 
m^e liable 



A BILL FOR 




105 



LSB6102939AS jw 

a.-J ACT to amend Section 2.26 of the "Game Code of 1971", 
approved December 10, 1971, as amended. 

Bo it enacted t>y the Peopl e of tne S t a t_g of Illin ois, 

LeBL§servtecl_i_n_t he_Gengr a] Assem p l y : 



5 Section I. Section 2-26 of the -Game Code of 1971", 

6 approved Decemper 10, 1971, as amended, is amended to read as 

7 follows: 

|Ch. 61, par- 2.26) 

8 Sec. 2.26. Before any person may take deer he shall 

9 first obtain a "Deer Hunting Permit" in accordance witn tne 

10 prescribed regulations set forth in an administrative order 

11 of the Department. Deer hunting permits shall be issued by 

12 the Department. The fee for a Deer Hunting Permit to take 

13 deer uitl either bow and arrow or gun shall be S15 for 
1* I e .sj_dent_s_cf_t he_S_tate. The fee for np n-r es j den ts. sha.1] Q£ 

15 iiO. The following persons, upon application to tne 

16 Department, shall be issued a deer hunting permit without 

17 payment of the fee stated herein: (a) the owner and mempers 

18 of the immediate family residing on farm land; or (b) tne 

19 bona f i oe tenant of farm land and members of the immediate 

20 family residing on the farm land. 

21 The deer hunting permit issued without fee shall be 
2Z effective only as to the farm lands upon which the person to 
23 whom it is issued resides. 

2<. It shall be lawful for the holder of a deer hunting 

25 permit, during open seasons, to take or attempt to take deer 

26 by use of gun provided that such gun is a shotgun of not 

27 larger than 10 nor smaller than 20 gauge loaded with rifled 
2? slugs, or is a muzzle loading rifle. The standards and 

29 specifications for use of such guns shall be established by 

30 administrative order and they shall be used subject to 

31 regulations established for the use of a shotgun. 

32 No person may have in his possession any other firearm or 



106 



-2- 



LRB8102938ASJ. 



1 sidearm when taking deer by trie use of either a shotgun, bow 

2 and arrow or muzzle loading rifle. 

3 Fersons having a deer hunting permit shall be permitted 

4 to take deer only during the hours of 6:30 a. m. to 4:00 p. 

5 m. , Central Standard Time. and only during those days for 

6 which an open season is established for the taking of oeer by 

7 use of shotgun or muzzle loading rifle. 

8 It shall be lawful for a person having a deer hunting 

9 permit for bow and arrow to take deer only during the period 

10 from 1/2 hour before sunrise to 1/2 hour before sunset, 

11 Central Standard Time, and only during those days for which 

12 an open season is establ i shed for the taking of deer by use 

13 of bow and arrow. 

14 It is unlawful for any person to take deer by use of 

15 dogs, horses, automobiles, aircraft or otner vehicles, or by 

16 the use of salt or bait of any kind. 

17 It shall be unlawful to possess or transport any wild 

18 oeer which has been injured or killed in any manner upon a 

19 public highway or public right-of-way of this State. 

20 Whenever any person attempts to or takes deer by the use 

21 of a shotgun or muzzle loading rifle, he shall wear, /hen in 

22 the field, a cap and an upper outer garment of a solid and 

23 vivid color ana these articles of clothing shall display a 

24 minimum total of not less than 400 sguare inches of materials 

25 This clothing requirement applies to both hunters and 

26 non-hunters that may be in a hunting party in the field. 

27 Beqinning January 1, 1976, those persons who attempt to 

28 or take deer shall be required to wear articles of clothing 

29 of a solid and vivid hunter blaze-orange color. 

30 The bag, possession limit and clothing requirement shall 

31 be established by administrative order. 

32 It is unlawful for any person having taken his limit O' 

33 oeer to further participate, with gun or oow and arro»> in 

34 any hunting party for the purposes of taking additional deer. 

35 The Department, with the approval of the Conservation 



.7 S 



'07 



-3- LRB8102938ASjw 

Advisory Board, shall announce Dy administrative order tne 12*. 

counties that are to be open for deer hunting only where it 125 

is not feasible to attempt to hunt upland game during the 126 

prescribed seasons set forth. In those counties where upland 12V 
game hunting is permitted during the period of the deer 

season, the Department shall require the use of a vivid 128 

colored cap or upper garment, or establish whatever otner 129 

measures necessary to accomplish a high degree of hunting 130 

safety- Eeginning January 1, 1976, during deer hunting season 131 
the upland game hunter will be required to wear the same 

hunting clothing as required for the deer nunter during the 132 
deer season. 



108 



RECOMMENDED BILL FIVE 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Insurance 

PROPOSED RULEMAKING: Pension Exams and Compliance Procedures 
(Proposed March 3, 1978) 

BACKGROUND: The Joint Committee objected to these rules on the basis of 
several difficulties at its March 1978, hearing (see pages 30 - 31 )• The 
Department refused to withdraw or modify the rules to meet the Joint 
Committee's objections. The most serious objection was the lack of criteria 
on the basis of which the Director may levy a fine. This lack of criteria 
fails to protect against arbitrary action by the Director and does not 
adequately inform the affected public regarding when or on what basis the 
Department will impose a fine. 

SUMMARY OF LEGISLATION: This legislation would require the Department to 
specify in the form of rules the standards and criteria on the basis of which 
the Director will impose a penalty. The legislation indicates that the 
criteria should be related to evidence of efforts made in good faith to 
comply with the legal requirements. 



09 



RECOMMENDED BILL FIVE 



SIst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
INTRODUCED BY 



SYNOPSIS: (Ch. 108 1/2, par. 22-509) 

Amends the Pension Code. Requires the Director 
of Insurance to develop criteria to use in determining 
whether to assess a penalty for non-compliance with a pension 
law and criteria to determine the amount of such penalty. 



LRB8102993KPmkA 

H&l Ktfa Ad 
™H*. »; pliable 



I I I 



L^Sdl j2?96KPm* 



AN ACT to amend Section 22-509 of tne " 1 1 1 i no i 
Code", approved fsrcn 13, 1963, as amended. 



t enf? __er____v th__?__o_Ie_of_t ______ t£_____l____c___j 

Le____.n___h___e__r_ ______ ______ 



Section 1. Section 22-309 of tne "Illinois Pension 
Cooe". approved March 18, 1963, as amended, is af.enc.ed to 
read as follows: 

(Ch. 108 1/2, oar. 22--509) 

Sec. 22-509. Failure to comply. whenever tne i v i s i on 



or in any o t he r 
•a or appo i n ted 

unit oef i ned in 
> f ter sud jec t to 

ement fund or 
ihe gover omenta 1 



determines by examination, i nves t i gat i or 
manner, that the governing body, or any elec 
officer or official of any governmental 
Section 22--502 of this Division, now or h< 
any law creating a pension, annuity or r< 
system for the benefit of the employees or 
unit, has failed to comoly with any of the provisions or such 
law to which it is subject by reason of population or 
otherwise. the Director of Insurance snail. in writing, 
notify the aoverninn body, officer or official, as the case 
may be, of the specific provision or provisions of tne law 
wnich are not being complied with. Upon receipt of the notice 
the aovernino body, officer or official, as tne case may be, 
to which such notice is addressed. Shall take immediate steps 
to comply with the provisions of law as set form in the 
notice, uoon failure by the governing body, officer or 
official to comolv within a reasonable time arter tne receipt 
of Sucn notice, the Director of Insurance, may nol o. a hearing 
for the oovernino body, orficer or official at wni en they 
snail show cause for non-compliance with the law. If upon 

conclusion of sucn nearing the Oirector oeterm,nes aood ana 
sufficient caus«? for non-compliance has not been snown, ne 
may order compliance within a period of not less man jo 
days. If Evidence of compliance n_s not b4e>i submitted to 



112 



-2- 



L q EHl02V9c 



the Director within the period of tine prescribed in tne 
oroer and no administrative appeal from tne order nas oeen 
initiated. the Director may for such non-cotr.o 1 i ance assess a 
civil penalty of up to SI. 000 against such governing DOdy. 
officer or official. I_ie_J_ i_rjLc t 2C _iha_lL_deveio'2_a_ r >a._s_ta_t_£_!_Q 

itie__f.orm__of__ru^es standards. and c_ritgr^^a__w i t h a.s_my.c.n 

specificity as oracticaole t hat h e will usj io o e. term iQ lag 

whether, to. assess, such a penalty and setting tne amount, of 

such_a_oenaLt v^ Sucn standards and criteria should i_nc.iuge.jt. 

b"t_ npt_ _be limi ted to. consideration of evij.ncp of efforts 

m.ade__in good fa ^t h to c ompl Y « i^tn SEP. L__c io]_e. i2Qii 

requirements. Such rulemaking is supject to the provi sion s 

of t h ^LlIiriQLs. AC: 02 i_hi. 5. t.i.5£Li.2 Procedure Act. 

If a penalty is assessed and not paio witnin 30 days of 
the date of assessment, the Director snail -iitnout further 
notice. report the act of non-compliance to tne Attorney 
General of this State. It shall De the outy of tne Attorney 
General; or. if the attorney General so designates, of tne 
state's attorney of the county in wnicn trie governmental unit 
is located, to apply forthwith oy complaint on relation of 
the Oirector of Insurance in the name of tne people of 
State of Illinois, as plaintiff, to the Circuit Court of 
county in which tne governmental unit is located 

enforcement of the penalty prescnoed in this Section or 
such additional relief as tne nature of the case and 
interest of the employees of the governmental unit or 



2 7 puDl ic ma. 



.J 



I 13 



RECOMMENDED BILL SIX 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Insurance 

PROPOSED RULEMAKING: Minimum Standards of Individual Accident and 
Health Insurance Policies (Proposed March 2k, 1978) 

BACKGROUND: At its April, 1978 hearing, the Joint Committee objected to 
these rules because of a provision which allowed the Director to approve 
exeptions to the standards without any standards or criteria for making such 
exceptions. The statement of specific objections stated that the Joint 
Committee objects to "paragraph 6E because it fails to contain any criteria 
or standards delimiting the authority of the Director in approving exceptions 
to the rule. Such failure renders the rule vague and subject to arbitrary 
exercise of discretion." (see page 32). The Department refused to include 
any criteria in the rule, stating that it is "indispensable to retain the 
discretionary capacity in 6E." The Joint Committee still believes it is 
essential to include in the rules criteria on the basis of which exceptions 
may be made by the Director. 

SUMMARY OF LEGISLATION: This legislation would clarify the statute which 
allows exceptions to the minimum standards by making the criteria for such 
exceptions more specific. The legislation would also require the Department 
to include in its rules any more specific standards or criteria the Director 
will use to grant exceptions. 



REC OM M E ND ED BILL Si* 



INTRODUCED. 



Slst GENERAL ASSEMBLY 
State oi Illinois 

1979 and 1980 
BY 



SYNOPSIS: 



(Ch. 73, par. 967a) 



Amends the Illinois Insurance Code. Alters the 
criteria to be used by the Director of Insurance to grant 
exceptions to the minimum standards promulgated by rule for 
various accident and health insurance coverages, from 
exceptions in the public interest to exceptions specifically 
benefiting individuals or groups, if such persons can be 
informed of the exceptions. Requires the specific criteria 
for exceptions to be included in rules promulgated by the 
Department. Subjects rulemaking in regard to such minimum 
standards to The Illinois Administrative Procedure Act. 
Makes changes in terminology to correlate therewith. 



LRB8102 99 5SKjpA 






A BILL FOR 



I 17 



l*B3 102993S* jpi 



AN ACT to amend Section 3s5a of the "Illinois Insurant:! 
Cooe", approved June 29. 1937. as a-nenaeo. 



iS L5 enact en D i __the_PejOGL£_QL_LDa_5.td.te._CiL_iiii-GC.i5.i 

10r^s^rueg_in_fJl = _Ciener aI_Ass_emOl i i 



5 Section I. Section 355a of the "Illinois Insurance Cooe". 

b approved June 29, 1937, as amended, is amended to read as 

7 follo-s: 

(Ch. 73, par. 967a) 

8 Sec. 355a. (1) The purpose of this Section snail oe (a) 

9 to orovioe reasonable standardisation and simplification of 

10 terms and coverages of individual acciaenc and health 

11 insurance policies to facilitate puolic un Jer s t and i ng and 

12 comoarisons; (b) to eliminate provisions contained in 

13 individual accident and health insurance policies whicn may 
1 <• be misleading or unreasonably confusinq in connection either 
15 with the purchase of such coveraqes or with tne settlement of 
15 claims; and (C) to provide for reasonable disclosure in tne 
17 sale of accident and nealth coverages. 

Id (2) Definitions applicable to this Section ar e as 

19 follows: 

20 (a) "Policy" means all or any part or tne forms 

21 constituting the contract between the insurer and tne 

22 insured. including the policy, certificate. subscriber 

23 contract, rioers. endorsements. and the application if 
2<< attached, which are subject to filing wi tn and approval ov 

25 the Director. 

26 (b) "Service corporations" means non-profit hospital, 

27 meoical. voluntary health, vision, dental, ana pharmaceutical 
23 corporations ornanized and operating respectively unoer "Ine 

29 Non-Profit Hospital Service Plan Act". "Tne Medical Service 

30 Plan Act". "Tne voluntary Healtn Services Plans Act". "Ine 

31 Vision Service Plan Act". "Ine Dental Service Plan Act", and 
3^ "Ine Pharmaceutical Service Plan Act". 





-2- LR&ai02995SK jpA 




1 


(c) "Accident and health insurance" means insurance 


as 


z 


written under Article XX of trie Insurance Code, otner tnan 


89 i 


3 


credit accident and health insurance, ana coverages provided 


, "° i 


* 


in suDscriOer contracts issued Dy service corporations. For 


' 91 j 


5 


purooses of this Section sucn service corporations snail oe 


92 


» 


deemed to be insurers engaged in the business of insurance. 


93 


7 


(3) The Director shall issue such rules awe-r-ga+e t ren^s 


95 


8 


as ne shall oeem necessary or desirable to establish specific 


9o J 


9 


standards, including standards of full and fair disclosure 


97 i 


10 


that set fortn the form and content and reauireo disclosure 


93 


1 I 


for sale, of individual policies of accioent ana nealth 


99 


12 


insurance. which rules and regulations shall oe in addition 


IOC j 


13 


to and in accordance with tne applicable laws of this :>tate. 




'" 


and which may cover but shal 1 not be 1 imited to: (a) terms 


10 1 k 


13 


of r enewab i 1 i t y ; (b) initial and Subsequent conditions of 


io, !j 


1^ 


eligibility; (C) non-duplication of coverage provisions; (d) 


^' 


17 


coverage of dependents; (e) pre-existing conditions; (t) 


10. | 


13 


termination of insurance; (g) probationary perioos; (h) 


10! 1 


1 9 


limitation, exceptions, and reductions; (i) elimination 


I 


zo 


periods; (j) requirements regarding replacements; (k) 


10, j 


21 


recurrent conoitions; and ()) the definition of terms 


"10 \ 

I 


21 


including out not limited to the following: hospital. 


10, I 


2i 


accioent, sickness, injury, physician, accidental means. 


10' 


2<. 


total disability, partial disability, nervous disoroer. 


1 


23 


guaranteed renewable, and non-cancellable. 


: 


26 


The Director may issue rules and-re^o + at-r an* that specify 


n, I 


27 


prohibited policy provisions not otherwise specifically 


u | 


26 


autnorized Dy statute whicn in tne opinion of tne Director 


1 1 • 


29 


are unjust. unfair or unfairly discriminatory to tne 


1 l ! 


30 


policyholder, any person insured unoer the policy. or 


il. 


31 


benef ic iary. 




32 


( * ) The Director snail issue such rules .^nd- -r»«o4n t rons 


11, 


33 


as he shall deem necessary or desiraole to estapl isn minimum 


1 1 ' 


i 3 '* 


standaros for benefits under each cateoory of coverage in 


12, 




inci vicual accident ana nealtn policies, otner man 


J 



119 





-3- L»631G29}5S*_pA 




1 


conversion policies issued pursuant to a contractual 


122 


2 


conversion privilege una'er a group policy* including Out not 




3 


limited to the following categories: (a) basic hospital 


123 


* 


expense coverage: (b) basic meo i ca 1 - su r _ ic al expense 


- 12^ 


5 


coverage; (c) hospital confinement indemnity coverage; (o ) 


125 


» 


major medical expense coverage; (e) di saoil ity income 


126 


7 


protection coveraoe; (f) accident only coverage; ana (a) 


127 


8 


specified disease or specified accident coverage. 




9 


Nothing in this suosection ( <. ) shall preclude tne 


129 


10 


issuance of any policy which combines two or more of tne 


130 


" 


categories of coverage enumerated in suopa ragr apns (a) 


131 


12 


through (f) of this subsection. 




13 


No policy shall be delivered or issued for delivery in 


133 


14 


this State which does not meet the prescrioeo minimum 


134 


1 3 


standards For the categories of coverage 1 isted in this 


135 


\i> 


subsection unless the Director finds tnat such policy ___ 


13e> 


If 


necessary to meet specific needs of individuals or croups and 


137 


16 


5ycn_ m^v^^^s _o r _gr guES_SiLI_t;e_aff e guat£iv_ , i.ni2i:msg_ _r.hii 




19 


suc.5 ___.!__* does _______* the prescribed minimum stanoarps 


138 


20 


»fH-Se-»-n-the-9tilsHt-tiitsfe5ti anc such policy meets tne 


139 


21 


reouirement that the benefits provioed therein are reasonable 


140 


22 


in relation to the premium charged. The standards and 


14 1 




23 


criteria to_ r>e_ used_ 0y_ the.. Director j^n a__C_ ov j_n g _y_n 


14Z 




24 


2_l___e______ll_ ________ Ly______n_ti_^_r^_^s___e_gyi_e__y _________ 


143 




25 


Section with as much spec i f i c i t y as or ac t i_c_b_e_ 






26 


The Director shall prescribe _x £yl_ the method or 


145 




2' 


identification of policies based upon coverages provided. 


I 4o 




23 


(5) (a) In order to orovioe » or full and fair disclosure 


148 




2^ 


in the sale of individual accident and health insurance 


... 




3u 


policies* no sucn policy shall oe delivered or issued for 


1 iO 




31 


delivery in this State unless: (i) in the case of a direct 


151 




32 


response insurance product, the ojtline of coverage ooscrioeo 


132 




3J 


in oaraaracn (c) of tnis suosection accomoanies the policy; 


153 




34 


(ii) in all other cases, the outline of cjvirage described in 






i-> 


s^i-i oaraoraon (b| of this su3s<;ccion is delivered to tne 


1 i- 





120 



,r<63102993SK jpi 



1 applicant at tne time the application is made* ana an 

2 acknow I eoament signed by tne insured, of receipt of delivery 

3 of such outl i ne is provided to trie insurer with tne 
<» application. In tne event tne policy is issued on a oasis 
5 other tnan tnat aoplied for. the outline of coverage properly 
b describing the policy must accompany the policy -hen it is 

7 delivered and such outline shall clearly state that tne 

8 policy differs, and to what extent, from tnat for »nicn 
1 application was originally made. 

10 (D) The Director shall issue such rules an«-f-ego + 3 trsns 

11 as ne shall deem necessary or desirable to orescripe the 

12 format and content of tne outline of coverage recjuired oy 

13 paragraph (a) of this subsection. "Format" means style, 
1*. arrangement. and overall appearance, including such items as 
15 the size, color, and prominence of tyoe and tne arrangement 
li of text and captions. "Content" snail include without 
17 limitation thereto, statements relating to the particular 
13 policy as to tne applicable category of coverage prescripeo 
I? under subsection <• ; principal benefits; exceptions. 

20 reductions and limitations; and renewal provisions, incluoino 

21 any reservation by the insurer of a right to cnange premiums. 

22 Such outline of coverage shall clearly state that it 

23 constitutes a summary of the policy issued or appliec for anc 
Zh that the policy should be consulted to determine governing 

25 contractual provisions. 

26 (o) Prior to tne issuance of rules of — rt'olj tfen^ 

27 pursuant to this Section. tne Director shall afford tne 
Zd public, including the companies affected tnereoy. reasonable 
2-* opportunity for comment. £yXh_ r _uLem^«_i r !2_is__suy.je_c t tg. tne 

30 r 2!CliLi2hL_oi^Lbe_I_J.Iing!S_Aam !L nj_st ra t i_ye_P r ocgyj^^ci^;. 

31 (') When a rule »f-ftflnlotn:» has oeen aoopted. pursuant 
3 ^ to this Section, all policies of insurance or suoscriper 
33 con'racts wnich are not in compliance -ith sucn rule or 
3^ feeolst.cB shall. wnen so provided in such rule 01- 
33 r-e« + at ro« , oe deemed to oe aisaporovea as 01 a pace 



L61 
162 



171 

1 72 



I 1-. 
! 75 
1 76 



I 7 8 

1 ;'.' 
180 



121 



LRS8102995SK. IP' 



1 soecif led in sucn rule Df-rr^otc-i-on not less tnan 120 days 187 

2 following its effective date. witnout any lurtner or la8 

3 additional notice ctner tnan trie adoption of tne rule or 139 
•V reoot 3ttO". 

5 (8) when a rule er-r~gn4-et-ren adopted pursuant to this 191 

6 Section so provides. a policy of insurance or suoscrioer 192 

7 contract which does not comply witn tne rule ef— fejofatron 193 
3 snail not less tnan 120 days from tne effective date of sucn 19*. 
9 rule er -reaaiatro" t be construed, and tne insurer or Service 195 

10 corporation snail be liable, as if tne policy o,r contract did 

11 comply wi*h tne rule of-regol-dtrsft. 



12 



13 to this Section snail be a violation of tne insurance law fof 
1 <- purposes of Sections 370 and «.<•<> of tne Insurance Code. 



19< 



(9) Violation of any rule jr-r?ao)stron adopted pursuant 19f 



22 



RECOMMENDED BILL SEVEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Law Enforcement 

PROPOSED RULEMAKING: Criminal History Record Information (Proposed 
March 10, 1978) 

BACKGROUND: The Department proposed a set of rules to govern an individual's 
right to access and review of any criminal history record information 
concerning himself. Federal law and regulations required such a system of 
access and review. The Joint Committee considered the rules at its April, 
1978 hearing and did not formally object. The Joint Committee indicated 
that the relevant State law (Ill.Rev.Stat.l977,ch.38,par.206-7) did not 
clearly provide a right of access and review to individuals and also that this 
section conflicted with other Acts requiring the dissemination of records to 
other agencies. Amendatory language was recommended to remedy this 
situation. 

SUMMARY OF LEGISLATION: This amendment would clearly specify an 
individual's right to access and review of his criminal record information and 
specifically allow the Department to release information to other agencies 
when required by another state statute. 



123 



REQQMMEMQED BILL sf.vf.n 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
INTRODUCED -. BY 



SYNOPSIS: (Ch. 38, par. 206-7) 

Amends the Criminal Identification and 
Investigation Act. Specifies an individual's right to access 
and review of his criminal record oursuant to rules 
established by the Department of Law Enforcement. Allows the 
Department to release information to other agencies when 
required by another State statute. 



LRB8102262KPakA 



Fufil Wh Act 
may^e arable 



A BILL FOR 



125 



i_«3dio2262KPaxA 

1 an ACT to amend Section 7 of "ad Act in relation to <. 9 

2 criminal identification ana investigation", approved July 2. 50 

3 1931. as amended. . 51 

* __ Ll ______d b___t^_____________.____________l____ng_s_ • 5<. 

5 Lt2 r J?i_a_?J_______e_______________.L.___L. 53 

6 Section 1. Section 7 of "An Act in relation to criminal 57 

7 identification and investigation", approved July 2, 1931, as 58 
d amended, is amended to read as follows: 

|Ch. 39, par. 206-7) 60 

Sec. 7. No file or record of tne Department nereoy 62 

10 created shall be made public, except as may De necessary in 63 

11 tne identification of persons suspected or accused of crime 6". 

12 and in their trial for offenses committed after na v i nq been 65 

13 imprisoned for a prior offense; ana no information of any 60 

1 <r character relatinq to its records snail be given or furnished 

15 by said Department to any person, bureau or institution otner 67 

16 than as here-rn provided in th is Act or otner State la-, or 63 

1? when a Governmental unit is requ ired by state pr fgoeral !.___ 6 9 

13 to c_Q____C sucn i n for ma t io n _n the _____C _____ of i 1; s 70 

1 9 _U_i_5- violation of this Section shall constitute a Class 

20 A misdemeanor. 71 

21 However, if an individual requests the Department to 73 
ZZ release information as to the existence or nonexistence of 7<, 
23 any criminal recoro he might nave, the department snail do so 73 
2^ uoon determining that the person for whom the recoro is to be 7o 

25 released is actually the person makinq tne request. Tnp 77 

26 _____________ ha _1 e____l______!___ _tg._s.e_l_f.or t h o r____i____e_s 7 b 

2 7 _ II _____________! dyaj _m _n _____________£__ _fl 

25 lot _____i<2___th_______r.t_!_nt m__ _____•_! c._n__rni_n_ ttL-l ?** 

29 iCL__v__y__ yJ2_D _____ i_____o._ of__L_2 Ld_n___.5_ _f. _,__ BO 

30 i_d____u_i_ _y.ch_r___m__^_____.__.________________2___i________ a 1 

31 i^_LULhQis____iQi_tr___v___r_r_____r __A_t_ 



126 



RECOMMENDED BILL EIGHT 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Public Aid 

PROPOSED RULEMAKING: Medical Vendor Administrative Proceedings 
(Proposed January 13, 1978) 

BACKGROUND: The Department proposed these rules on the basis of legislation 
which became effective December 1, 1977, authorizing the Department to 
suspend or terminate medical vendors eligibility for participation in medical 
services programs (House Bill 4, Special Session 2). The Joint Committee 
reviewed these rules at its February 21, 1978, hearing and objected to the 
rules, listing seven specific objections, (see pages 35 - 38). The agency 
modified the rule to meet five of these objections, but two objections were 
not corrected by the agency's modifications. These remaining problems are 
(1) the lack of a definition of "management responsibility" thus providing no 
guidance to the public of who the agency may apply this provision to, and (2) 
the lack of criteria on which the agency may decide not to withhold 
payments while termination proceedings are pending. Both of these 
deficiencies result in significant areas of uncertainty of anticipated agency 
actions for the affected public. 

SUMMARY OF LEGISLATION: This legislation would correct both of these 
deficiencies by (1) expressing requiring the agency to include in its rules a 
definition of "management responsibility" and (2) specifying the criteria on 
which the Department can decide not to withhold payment when a 
termination proceeding is pending. The criteria are based on responses of 
the Department to the questions raised by the Joint Committee. 



127 



RECOMMENDED BILL EIGHT 



INTRODUCED 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
BY 



3YKKNW: (ch , 23, par. 12-4.25) 

Amends the Public Aid Code. Adds provisions 
specifying the criteria on which the Departnent of Public Aid 
can decide not to withhold pavnent from a medical vender when 
a termination or suspension proceeding is pending against 
such vendor. Also, requires the agency to include in its 
rules a definition of "management responsibility" . 



LR23102?4lALDk 



A BILL FOR 



129 





LR88102941 ALpk 




1 


AN ACT to amend Section 12-4.25 of "Tne Illinois Public 


50 


z 


Aid Code", approved April lit 1967, as amended. 


52 


3 


22._Li_S r iscted_C;v_th2_Peo E Le_of J.ne State of lIliDO.ii i 


55 


* 


r_en re sensed in tn° C-enoral tsseTipl y: 


56 


5 


Section 1. Section 12-<-.25 of "Tne Illinois Public Aid 


59 


6 


Code", approved April 11, 1967, as amended, is amended to 


60 


7 


read as follows: 






(Ch. 23, par. 12-4.25) 


62 


8 


Sec- 12-4.25. (A) The Illinois Department may deny. 


64 


9 


suspend or terminate the eligibility of any person, firm. 


65 


10 


corporation, association, agency, institution or other legal 


66 


1 1 


entity to participate as a vendor of goods or services to 


67 


12 


recipients under the medical assistance program under Article 


68 


' 3 


V, if after reasonable notice and opportunity for a hearing 


69 


14 


the Illinois Department finds: 




15 


(a) Such vendor is not complying witn the Department's 


71 


16 


policy or rules and regulations, or with the terms and 


72 


17 


conditions prescribed by the Illinois Department in its 


73 


18 


vendor agreement, which document shall be developed by tne 


7<. 


19 


Department as a result of negotiations with each vendor 




20 


category, including physicians, hospitals, long term care 


75 


21 


facilities, pharmacists, optometrists, podiatrists and 


76 


22 


oentists setting forth the terms and conditions applicable to 


77 


23 


the participation of each vendor group in the program; or 


73 


24 


(b) Such vendor is not properly licensed or qualified. 


80 


25 


or such vendor's professional license, certificate or other 


81 


26 


authorization has not been renewed or has been revoked. 


82 


27 


suspended or otherwise terminated; or 


83 


28 


(c) Such vendor nas failed to keep or make available for 


85 


29 


inspection, audit or copying, after receiving a written 


66 


30 


request from the Illinois Department, Such records regarding 


B7 


31 


payments claimed for providing services. This section does 


88 


32 


not reauire vendors to make available patient records of 


89 



30 



LRB8 1029m ALpk 



patients for 



services are not reimbursed unoer this 90 



(d) Such vendor has failed to furnish any information 
requested by the Department regarding payments for providing 
goods or services; or 

(e) Such vendor nas knowingly made. or caused to be 
made, any false statement or representation of a material 
fact in connection with the administration of the medical 
assistance program; or 

(f) Such vendor has furnished goods or services to a 
recipient which are (I) in excess of his or ner needs. (2) 
harmful to the recipient, or (3) of grossly inferior quality, 
all of such determinations to be based upon competent medical 
judgment and evaluations; or 

(g) The vendor; a person with management responsibility 
for a vendor; an officer or person owning, either directly or 
indirectly, 5% or more of the shares of stock or other 
evidences of ownership in a corporate vendor; an owner of a 
sole proprietorship which is a vendor; or a partner in a 
partnership which is a vendor, either: 

(1) was previously terminated from participation in tne 
medical assistance program; or 

(2) was a person with management responsibil ity for a 
previously terminated vendor during tne time of conduct which 
was the basis for that vendor's termination from 
participation in the medical assistance program; or 

(3) was an officer, or person owning, either directly or 
indirectly, 51 or more of the shares of stock or other 
evidences of ownership in a previously terminated corporate 
vendor during the time of conduct which was the basis for 
that vendor's termination from participation in tne medical 
assistance program; or 

( 4 ) was an owner of a sole proprietorship or partner of 
a partnership which was previously terminated during the time 
of conduct which was the basis for that vendor's termination 



I M 





-3- LRE8102'^l ALpk 




1 


f r ot participation in the medical assistance program; or 


127 


2 


(h) The vendor; a person with management responsiDil ity 


129 


3 


for a vendor; an officer or person owning, eitner directly or 


130 


<. 


indirectly, 55 or more of the shares of stock or otner 


131 


5 


evidences of ownership in a corporate vendor; an owner of a 


132 


6 


sole proprietorship which is a vendor; or a partner in a 


133 


7 


partnership which is a vendor, either: 




8 


(1) has engaged in practices pronibited by federal or 


1 35 


9 


State law or regulation; or 


136 


10 


(2) was a person with management responsibility for a 


138 


>' 


vendor at the time that such vendor engaged in practices 


139 


12 


prohibited by federal or State law or regulation; or 


l'.O 


13 


(3) was an officer, or person owning, either directly or 


142 


I* 


indirectly, 5* or more of trve shares of stock or other 


1<.3 


15 


evidences of ownership in a vendor at the time such vendor 


1<,« 


16 


engaged in practices prohibited by federal or State law or 


145 


1 7 


reoul at i on ; or 




18 


ft) was an owner of a sole proprietorship or partner of 


147 


19 


a partnership which was a vendor at the time such vendor 


l<.8 


20 


engaged in practices prohibited by federal or State law or 


149 


21 


regul at i on. 




22 


(B) Upon termination of a vendor of goods or services 


15 1 


23 


from participation in the medical assistance program 


152 


2*. 


authorized by this Article, a person with management 


153 


25 


responsibility for such vendor during the time of any conduct 


15<. 


2b 


which served as the basis for that vendor's termination is 


155 


27 


barred from participation in the medical assistance program. 


156 


28 


Upon termination of a corporate vendor, the officers and 


lib 


29 


persons ownina, directly or indirectly, 5t or more of tne 


159 


30 


shares of stock or other evidences of ownership in the vendor 


160 


31 


during the time of any conduct which served as the oasis for 


161 


32 


that vendor's termination are barred from participation in 


162 


33 


the medical assistance program. 




3<. 


Upon termination of a sole proprietorship or partnership, 


16<, 


35 


the owner or partners during the time of any conduct which 





132 





-<.- LR881029M ALpk 




1 


served as trie Dasis for that vendor's termination are barred 


166 


2 


from Participation in the medical assistance program. 


167 


3 


5yI?l_;3 5eDtSd_5i_th?- Illinois, Dep.a r t mpnj to i mpl emen t 


169 


A 


t hese__p_rov^s J.gns__shalJ specifically include a oe f i n i t i on of 


170 


5 


tf?e_term "management r esoons i D i 1 i t v" as used in this Section. 


1 71 


6 


5tl£tl_cl£LLnitiQn_shal_l_inc ; Lyflg!_B.y t_Q°I_2§-Ii. m i t eS_12i_t Jialca.I 


172 


7 


JS h .-_£iLle5s. and__dyties__ancj desc r \_Qt iQns. which wj_JJ fce 




8 


cons^dered__as__wit^hin the .. flef i n i t i cm of indiv idua 1 S with 


173 


9 


ianag£ m gni_!:esr)gns^b^l2r i v_f or_a_gr g vid_e r.s. 


IT, 


10 


(C) If a vendor has been suspended from the medical 


lib 


1 1 


assistance program under Article V of the Code, the Director 


177 


12 


may require that Such vendor correct any deficiencies which 


178 


13 


served as the basis for the Suspension. The Director shall 


179 


1<. 


specify in the suspension order a specific period of time. 


180 


15 


which shall not e»ceed one year from the date of the order. 


181 


16 


durino which a suspended vendor shall not be eligible to 


J! 


1 7 


participate. At the conclusion of the period of suspension 


182 


18 


the Director shall reinstate such vendor. unless he finds 


183 


19 


that such vendor has not corrected deficiencies upon which 


184 


20 


the suspension was based. 




21 


If a venaor has been terminated from tne medical 


186 


22 


assistance program under Article V, such vendor shall be 


187 


23 




188 


2<. 


of one year a vendor who has been terminated may apply for 


189 


25 


reinstatement to the program, upon proper appl ication to be 


190 


26 


reinstated such vendor may be deemed eligible by the Director 




27 


providing that such vendor meets the requirements for 


191 


2B 


eligibility under this Act. 


192 


29 


(D) The Illinois Department may recover money improperly 


19<, 


30 


or erroneously paid, or overpayments. eitner by setoff. 


195 


31 


crediting against future billings or by requiring direct 


196 


32 


repayment to the Illinois Department. 


197 


33 


(E) The Illinois Department may withhold payments to any 


199 


3<» 


vendor during the pendency of any proceeding unoer this 


200 


35 


Section except that if a final administrative decision has 


20! 



I 33 



-5- LRS8 1029AlAlpk 

1 not been issued within 1 20 days of the initiation of such 202 

2 proceedings, unless delay has been caused by the vendor, 202 

3 payments can no longer be withheld, provided, however, that 

<< the 120 oay limit may be extended if said extension is 20<« 

5 mutually agreed to by the Illinois Department and tne vendor. 205 

6 ICLP-^LlLiQO L5__D§Dar tmgnt shaJ^_ngt_w^thngl_d__oa.imen ts__C_ur j^ng 206 

* t.&g_pengenc y of any proceedin g u nder t hi s ...Sec £ j on_i f it fings 2 0V 

8 !!!3t_5yC£_a^ion_ would _resyl_t_j_n_t he_vendgr _bej.ng unafile tg 

9 ElSJilSe. to CetiEiPnts necessary servnees whi^crj sue 20B 

10 yngva M _abj_e_ f rpm other providers- Payments may be denied for 209 

11 bills submitted with service dates occurring during the 210 

12 pendency of a proceeding where the final administrative 211 

13 decision is to terminate eligibility to participate in tne 212 
1 ^ neoical assistance program. 

15 (F) Tne provisions of tne Administrative Review Act, 2 1 <• 

16 approved fay 8, 19<,5, as now or hereafter amended, and tne 215 

17 rules adcoted pursuant thereto, shall apply to and govern all 216 

18 proceedings for the judicial review of final administrative 217 

19 decisions of the Illinois Department under this Section. The 218 

20 term "administrative decision" is defined as in Section l of 219 

21 the Administrative Review Act. 

22 (G) Nothing contained in this Cooe shall in any way 22 1 

23 limit or otherwise impair the authority or power of any State 222 
2<. agency responsible for licensing of vendors. 223 



134 



RECOMMENDED BILL NINE 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Public Health 

PROPOSED RULEMAKING: Amendments to Food Service Sanitation Rules and 
Regulations (Proposed December 30, 1977) 

BACKGROUND: The proposed amendments established a certification program 
for Food Service Managers. Each food service establishment would then be 
required to have a certified Food Service Manager. Training programs were 
intended to be offered to aid individuals in preparing for the certification 
exam, but after a specified date, successful completion of the training 
program was to be required for eligibility for the certification exam. The 
Joint Committee objected at its January, 1978, hearing because of the 
uncertainty of a provision allowing exceptions based on the unavailability of 
the training program (see pages 43 - H ). Instead of clarifying the 
provision, the Department deleted the provision entirely and delayed the 
effected date. 

SUMMARY OF LEGISLATION: The suggested legislation would add a provision 
requiring the Department to grant exceptions based on unavailability of any 
training program required for eligibility for any certification exam. 



135 



RECOMMENDED BILL NINE 



31st GENERAL ASSEMBLY 
State oi Illinois 



INTRODUCED. 



SYNOPSIS: (Ch. Ill 1/2, par. 22) 

Amends An Act in relation to public health. 
Provides that when conpleticn of a training progran is 
required of food service employees before their certification 
such reauirement r.ny be waived if the program is not 
reasonably available to the individual. 



LR38102996PMJI 



A BILL FOR 



137 





LRB8 102996PM jo 


' 


1 


AN ACT to ar-end Section 2 of "An Act in relation to 


<,7 


2 


publ ic health", aoproved May 28, 1877, as amended. 


<,9 


3 


8e_^_en^c_ted_Dv_ini?_Peop.Le_of- t h .£__5_tat£ of. LIli-hQiii 


.52 


*• 


r erjre sen ted_j.n_tnp_C ; eneral_AsiembiYi. 


53 


5 


Section 1. Section 2 of "An Act in relation to puDlic 


55 


6 


health", approved May 28, 1877, as amended, is amended to 


56 


7 


read as foil ows : 






(Ch. Ill 1/3, par. 22) 


58 


8 


Sec. 2. Tne State Department of Public Health has 


60 


9 


general supervision of the interests of the health and lives 


61 


10 


of the people of the State. It has supreme authority in 


62 


11 


matters of quarantine, and may declare and enforce quarantine 


63 


12 


when none exists, and may modify or relax quarantine when it 


6. 


13 


has been establ ished. The Department may adopt, promulgate. 


65 


1* 


repeal and amend rules and regulations and make such sanitary 


66 


15 


investigations ana inspections as it may from time to time 




16 


deem necessary for the preservation and improvement of tne 


67 


1 7 


public health, consistent with law regulating the following: 


68 


IB 


(a) Transportation of the remains of deceased persons. 


7 P 


19 


(b) Sanitary practices relating to drinking water made 


72 


20 


accessible to the publ ic for human consumption or for 


73 


21 


lavatory or culinary purposes. 




22 


(c) Sanitary practices relating to rest room facilities 


75 


23 


made accessible to the publ ic or to persons handl ing food 


76 


2<. 


served to the public. 


77 


25 


(d) Sanitary practices relating to disposal of human 


79 


2b 


wastes in or from all buildings and places where people live. 


80 


27 


work or assemble. 




28 


Whenover_t h°_Qeear tment _es_ta hLiihe s_bx_LyIe_a_r sauiCgmeQl 


82 


29 


1 55 1_ emolove e s_o f _2_igod_s.gr v ic.e__s ______ h men £ ______ _l_i.___._ 


83 


30 


or _i.__£!______°_._____ __ f oo__se r v_ce_es ______ ________ pi o___n 


B<. 


31 


_________] ________ ________________ qr_ _____________ __£ 


85 


32 


______________n_______l_t_gn__g_ ___________ _r ___u___i__a_ 





138 



1 program is a c or 



-2- LHB8102996PMjp 
gf _e Ligj.5ilit2_t° r ._5 l -l c i 5 t e r t j^f ic a J.i.Qn 



or licensji t h°_Dgpa r Jjen t _sha;H _g r an t _ t o_an v_indj_vidy a] an 

5.*^gotign_t gthe r ?g.j|r ed__c omr>ie t ion of t ne__t ra irwng__Q. r 

e3ycatignal__rir ogr am__j^f the Department determines that the 

training or educational program is riot r_easgnabj_2 ay_ailab.!£ 

t g_the_^nd^y^n_ua J^ Such except i on shall not affect any otner 

requirements ns. labl_ L shed by r.he QgDa r t men t f or__suc.n 

r § r Lilif5<i55_2 r _.liC£55i!!9i 

?he-pFevt5t«n5-6>-"lhe-tHtB8t5-AJmrni-5trdt'Ye — PfeteOort 
*et c T — apSfeve<j--5eptfi«6ef — ^T--HJW--3i'e-'-nerebT-e"?''f*3h 
a^e9*e3-e«d-5BaH--dpB + r--to — e + + — eeitnTStrjtrve — rol-ei — ami 
pf-efeSu^eSr-ef-the-BepdftBepb-of-Publ-te-Hed^tft-Diioef-th-ts-ketT 

e*eept that 5tetTon--5--of the — f Htftat-i- -»o»rBT5tr«tTve 

Pfeee^<jFe-Jet-felaltn9-te-pfeee0ofe5-fef-fD*e-«iskrng-oet',-not 
fl9ph-H-Vh?-6d«ptten-6t-3ny-r D le-reqoTi'e4-br-fteeri)t->»«--Tn 
eenBeetroH-w T (:h->ih-ieh-tne-BepdFtirent-t5-?fee+oee(l-By-l-<)i<-fro* 
t»efttifno-eny-di5eretTon« 

All local boards of health, health authorities and 
officers, police officers, sheriffs and all otner officers 
and employees of the state or any local ity snal 1 enforce the 
rules and regulations so adopted. 

The Department of Public Heal tn snail investigate the 
causes of dangerously contagious or infectious diseases, 
especially wnen existing in epidemic form, and take means to 
restrict and suppress the same, and wnenever such disease 
becomes, or threatens to become epidemic, in any locality and 
the local board of health or local authorities neglect or 
refuse to enforce efficient measures for its restriction or 
suppression or to act with sufficient promptness or 

efficiency, or whenever the local board of health or too 
authorities neglect or refuse to prorrptly enforce efficient 
measures for the restriction or suppression of dangerousl' 
contagious or infectious diseases, the Department of Public 
Health may enforce such measures as it deems necessary to 
protect the public health, and all necessary expenses so 



I OS 
109 

1 10 



1 16 
I 1 7 



139 



-3- LRB81029<56PMjp 

1 incurred shall be paid by the locality for which services are 118 

2 rendered. 

3 The Department of Public Health may establish and 120 
<t maintain a chemical and bact er i o 1 oq i c laboratory for the 121 

5 examination of water ana wastes, and for the diagnosis of 122 

6 diphtheria, typhoid fever, tuberculosis, malarial fever and 123 
1 such other diseases as it deems necessary for the protection 1 2 <• 

8 of trie publ ic heal th. 

9 As used in this Act. "locality" means any governmental 126 

10 aaency which e.ercises po-er pertaining to public health in 127 

11 an area less than the State. 128 

12 The terms "sanitary investigations and inspections" and 130 

13 "sanitary practices" as used in this Act shall not include or 131 
1 *» apply to "Public Water Supplies" or "Sewage Works" as defined 132 
15 in the "Environmental Protection Act". 133 



w 



RECOMMENDED BILL TEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Public Health 

PROPOSED RULEMAKING: Grant Awards to Family Practice Residency 
Programs (Proposed January 13, 1978) 

BACKGROUND: The Department proposed these rules to implement the grant 
awards program established by the Family Practice Residency Act 
(111. Rev. Stat. 1977, ch.144, par. 1451 et. seq.) which became effective in 
September 1977. The Joint Committee objected to the rules on seven points 
(see pages k5 - 47 ). In response, the agency modified the rules to meet 
six of the specific objections, but refused to modify the rules on the 
remaining point. This remaining problem is the Joint Committee's objection 
to the inclusion as one of the criteria for consideration of awards, "The 
understanding of the political and social conditions under which a medical 
practice is conducted." The Joint Committee felt that this phrase was 
"inappropriate and unnecessary" as well as unclear and possibly beyond the 
statutory authority of the agency. 

SUMMARY OF LEGISLATION: This legislation would clarify the criteria to be 
considered by the Department in making grant awards to family practice 
residency programs by expanding the statutory list of such criteria. The 
Department's "social and political conditions" phrase would be replaced with 
more appropriate and clearer language. This legislation also insures that 
these additional criteria are secondary to the criteria included in the 
original Act. 



141 



RECOMMENDED BILL TEN 



Slst GENERAL ASSEMBLY 
State of Illinois 



1979 and 1980 
INTRODUCED BY 



SYNOPSIS: (Ch. 144, par. 14S4.02) 

Anentis Section 4.02 of the "Family Practice 
Residency Act". Establishes secondary criteria \;hich the 
Departrnent of Public Health nay consider in distributing 
funds to family practice residency procrams. 



LRB8103000C,Ljv 



A BILL FOR 



143 



L-*B31 03uO-&L j- 

1 a \ sCT to arena Section <-.02 or tr.e "Family Practice 

2 lesicency ict" . approved Septemoer 5. 1*77, as amended. 

3 _._______a_____C__tn____.o___.__t tne Stjte or __i__o___ 

* _._S______L________________i__________ 

3 Section l. Section <..02 of the "Family Practice 

o Aesic^ncy Act", approved Seotemoer b, 19 7 7, as a.T.enoeo. is 

7 a"neioe3 to read as follows: 
(Cn. m, par. t<.5<..02) 

3 Sec- '..0?. To determine tne procedures r or tne 

9 oistrioution of tne funds to family practice resicency 

10 programs, includma tne es t at>l i snment of eligibility criteria 

11 in accordance witn tne following auidelines: 

1? (a) preference for programs wn i c h are to oe estaDlisned 

13 at locations which einiai c potential for extending family 

1 <> practice pnysician availaDility to Designateo Shortage Areas; 

15 (o) preference for proqrams wnich ere located a-ay 'rom 

16 communities in which medical scnools are located; ana 

17 (c) preference for programs located in hospitals navmq 
13 affiliation aqreements with medical scnools located within 
19 tne State. 

2" ICl_2i5ir_i.rjyti.ng — such f.yr__s_ 1__ __________ ___ _J___ 

2 1 ____________ _______!__ c_r ______ ___ _h_t_e_ ______!______:__._£ 

-- 1 ____£!__! ___Q_______h__._ 

2 3 HX »flecuM° courses of instruct ion in _n £ __n_v___r_i 

-<■ _&___:____ 

2' ill _v_i__D_L___. ___ __________ utilLraiion _r. 

2- 9__}_x___________i ____________,________£ ____enc___nrgyg_ I°.__± 

2' _________;___ _____I_e___-___-___-e_________y_ _______ 

2d ________________£__ 

2 9 ____ _____ilQ___l_L>_Q3r__T L _2t_c_r 1 ,-yn___-_r_ i _n____r__j ; arch 

3" _q______________i_______ _________ _____________ ___y ________ 

3 1 __•_______.__■_ I _______ _________£_-_______ _____________ _______ 

32 _■_______ 



LW 



-<>- l_f<bd 1 JiOOOoL jw 

I !<Ll__SyL!iC ! .iQt_r I e t r ! 2n 1 s.rn5 12 L__ .131 Q t 2 „n £,£_ _ o f _ _ Q u 3 j. J. Li . 

"• i-ii — ^O-eDDtonri^t^ £ gyri.i_oi__ins cruet ion __ L n yti-tdLi 

' iastilytignei nnr* oconn.ic c ongj. t ion£ aft e£i.iC3 LflSil* 

6 Ct3CIiC.o. 



145 



RECOMMENDED BILL ELEVEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Public Health 

PROPOSED RULEMAKING: Grants to Illinois Medical Students: Part II 
(Proposed June 16, 1978) 

BACKGROUND: The Department proposed these rules under the Family Practice 
Residency Act (Ill.Rev.Stat.l977,ch.l^,par.l451 et. seq.) to establish 
procedures for these scholarship grants. The Joint Committee reviewed the 
rules and objected to two sections of the rules at its July, 1978 hearing (see 
pages 50 - 51 )• The Joint Committee found that the rules violated the 
Act in two respects: (1) by allowing less than three years' service in family 
practice in exchange for a medical school grant, and (2) by establishing 
penalties for violating the agreement. The Joint Committee indicated that 
both of these provisions seemed to be valuable as a matter of policy and thus 
the statute should be amended to allow these provisions. 

SUMMARY OF LEGISLATION: The proposed legislation would require one year of 
service for each year of medical school grant to a maximum of three years 
and would establish a penalty for failure to complete the required service. 



147 



RECOMMENDED BILL ELEVEN 



INTRODUCED . 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
___. BY 



SYNOPSIS: 



(Ch. 144, par. 1453.07) 



Amends the Family Practice Residency Act. 
Requires medical students who receive financial assistance 
under this Act to render one year of direct patient care in 
a Designated Shortage Area for each year of medical training 
for which financial aid was received. Provides that the 
length of required service shall be three years. In 
provides penalty for failure to complete the 
'ice. 



LRB8102259MRJSA 



addition, 
required sei 



Fiscal Knla Aci 



A BILL FOR 



149 





LRBt) 10225 vmRjsa 




1 


an AC I to amend Section 3.07 of t he "Family Practice 


51 


2 


Residency Act", approved September 5, 1977, as amended. 


53 


3 


Be_i_t_enaaeo_ov the People of tQg S t,a te of Illinois. 


5o 


<V 


reoro Se nteo in th» Genera) Assemoly: 


5? 


5 


Section i. Section 3.07 of the "Family Practice 


59 


6 


Residency Act". aDproved September 5, 1977, as amenaed. is 


60 


7 


amended to read as follows: 






(Cn. l<.<,, par. t<,53.07) 


o2 


8 


Sec- 3.07. "Eligible meoical student" means a person wno 


oA 


9 


meets all of the following qualifications: 


63 


10 


(a) he or she is an Illinois resident at the time of 


67 


1 1 


application for a scholarship under the proqram established 


6d 


12 


by this Act; 




13 


(b) he or she is studying medicine in a meoical scnool 


70 


1<. 


1 ocat ed in I 1 1 inois; 


71 


15 


(c) he or she emioits financial need as determined oy 


73 


16 


the Department; and 


7^. 


17 


(o) he or she agrees to serve for one_y^ear tnree yest-i 


76 


18 


as primary care physician, spending at least fifty per cent 


77 


»9 


of the tin.e engaged in direct patient care in a Designated 


78 


20 


Shor t age Area , for each year pf medical training for which a 


79 


21 


s^2l§j:sjilo_yn^ex^he_or^orar^^s_lahl L 5.n £ d^ Qt Lais *Ci Li 


B0 


22 


rec° j ved ■_ The maximum required service uncigr this agreement, 




23 


snal 1 d«? 3 vears; and 




2<- 


Iel_tl3^!_lI2e_a^r.ee_s_ 1 g_r_eo S v_i.n_fyL! aJJ s_c_r,2j.ar s_n Lai 


d2 


2' 


ttcelved unqer_ the, program established by this Art, pl.us._a 


oi 


2-> 


penalty of twice trie scholarsnir amount, if he or sne noes 


»* 


27 


not __f_y ]_f j.1] the_ agreement under paragraph i_2 )_ q* __hj_s. 


b ■> 


2a 


Sec __j_C____ The agreement shall recite t no manner anq terms ;_.__ 




2^ 


_itl±c.h__s s rvLce_s__are lo_be_r^nd 2 r e o_and _t he_eenaAt^_Li_IQ _Qc 


CO 


30 


Ca i r1_u E on_ Q e_f^siLt 1 . 





150 



RECOMMENDED BILL TWELVE 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Public Health 

PROPOSED RULEMAKING: Rules for Licensure of Home Health Agencies 
(Proposed January 20, 1978) 

BACKGROUND: These rules were proposed by the Department to implement the 
Home Health Agency Licensing Act (111. Rev.Stat. 1977,ch.l 11K>, par. 2801 et. 
seq.) which became effective October 1, 1977. The Joint Committee 
objected to these rules in February 1978 (see pages 47 - 48 ) and also 
supported SJR87 which urged the Department to reconsider adoption of the 
rules. The basic issue involves the scope of the regulation established by 
these rules. The Joint Committee feels that the legislature did not intend 
such excessive regulation of home health agencies under this Act. 
Especially problemmatic is the definition of home health services, required 
qualifications of personnel, the relationship to similar federal regulations 
and the role of the regional health systems agencies in the licensing process. 

SUMMARY OF LEGISLATION: This legislation would narrow and more clearly 
define the proper scope of regulation of home health agencies. Specifically, 
the legislation would exempt certain types of services from the definition of 
"home health services" to clarify the coverage of this Act, limit the health 
systems agency to an advisory role instead of their current certification 
authority, make the determination of qualifications of personnel directly 
related to the services performed, prohibit the Department from regulating 
the management or administration of home health agencies except when 
they are directly related to the quality of care provided, and require the 
Department's rules to be no more stringent than the federal regulations. 
The legislation would also require consideration of the economic impact of 
the standards prior to adoption or amendment and publication of an 
economic impact statement 



15 



g£QQMMEMDfD RTI T TWF - LVE 



81st GENERAL ASSEMBLY 
State of Illinois 



INTRODUCED . 



1979 and 1980 
BY 



SYNOPSIS: 



(Ch. Ill 1/2, pars. 2802.5, 2806, 2808 and 2810) 



Amends the Home Health Agency Licensing Act. 
Amends the definition of "home health services" to narrow its 
scope. Deletes the health systems agency certification 
requirement. Requires the Department of Public Health to 
consider the economic impact of any standards it intends to 
adopt and requires that the standards be no more stringent 
than the minimum Social Security standards. 



LRB8102993KPmkA 



FisGil Nof» Act 
mzyli amicable 



A BILL FOR 



153 



L*Bd 102993K.fmkA 

1 AN *CT to aieno Sections 2.05. 6, 8 ana 10 of trie "nom, 51 

£ Health Agency Licensing Act", approved Septemoer 20, 1977. 53 

3 Be ^t _______ by. t he Peo p 1° of _ h__S t 3 _.i__.___il__o__ j. 5o 

«• L?^rj?s^_t ____n_t ne__ener aj *__•__! Si*! 5? 

5 Section l. Sections 2.05, 6, 8 and L0 of the "Home 59 

6 Health Agency Licensing Act", approved Septemoer 20, 1977, 60 

7 are amended to read as follows: 

(Ch. Ill 1/2, par. 2802.05) 62 

3 Sec. 2.05. "Home health services" means services 6 1 -. 

9 provided to a person at his residence according to a plan of 65 

10 treatment for illness or infirmity prescribed by a physician. 66 

11 Such services include part time and intermittent nursing o7 

12 services and other therapeutic services such as pnysical 6b 

13 therao.y, occupational tneraoy, speech tnerapy. medical social 

I* services, or services provided Oy a home nealth aide_._o.ui __ 69 

" hot.-__ncJ.ud? homeiraher, companionship , or incidental h_3_S.__ 70 

l fc Q[_Ql_?£_l!!£_i__Ii__I_ted se rvic es not 2_Q__a___ L_2uiLi2S ?l 

1 ' tr a _n_d_me_i__l__e r SQnneJ _g o?r form. 

(Ch. Ill 1/2. par. 2806) 73 

13 Sec. 6. The Department shall, Defore Marcn 1, 1976, 7a 

19 promuloate standards n v r ule tor home heal tn aaencies 7& 

20 ooerated in this State anqw — fhe-stsndaftii-iBsH-fte-ioeii-ai 77 

21 >e-feam-'P-^e-eefH-*i-eiti'(>«-i»r — the--waVt»--syitfi»s oatncr 7 3 

22 t!iat---t'ie--hs«e--he*4't» > -d9e«tf-4e^v,ee-i-4-eerititeBt-«Tth-tne 7 9 

2 3 h?aWB-4e».v,e^-Bl. A B-ef-tB»-h<al-t-h-5rst-«»s-i'?e n er-»ef»rn5 — tn« 

2<> n9^«-Te«l-a*---r(^e3 — »«--«.»-€■« — .-h8*t->i?tit-tn-ae;BfT-ts-('Oc«tc3T du 

25 U c -9etiafl-»cB t shall issue such rules o«e-fri»J3tfeni as are 31 

26 dee"ed necessary tor the proper reoulation ot __£._ nome 62 

27 neateh aoencies. kW.CD_.__ul e m___n_______su___c,t__t _ _n_ o3 

2d Er_o___ionl___^h__iIi_nQi______n__tc__i____ro_e_ur__A___ 6<i 

*■* I-__0_D_r_ien__^iiL_LyIlv_CQa_i.__r_tn__.___Qn_______m____ b6 

30 o[ ___Q_S __n>Jard__ gn____°_h_iL_ h__3_Q_l_S__0 ______ __I_n__^r__ 6 7 

31 r 2!^_^_ r ^__-___._e_r___r___q__L____ _r ________ ______Q.P_l_ar__ ___ do 



54 



LRbdl02'V93KPm«A 



1 s> 5 _.!__! __?__._ 2 __._ n _ sue h_s t jnna rd s • the Oeojrtnont sr 



[if PII.Hf 



and, pud! i s n_ $ complete, state ment of such economic mnac; 

_:_i______i?i bus" __:__i__:r_d L™. t he devel ooment of tUS. 

Tne_ Derj^ftucnt snail not propose any stanqarps wn i r n are 

_QCg. strl.rjnent than me mi nimu m ___ang_rd_s _.______._ Dy (.ng 

E?^°£§l-_l!3^i'lI__i»^yClL^__*nil^Diltration_t_or_2LLaiflilitK_l2i: 
f _hgm e ^^aItn_dg=nc.ias_in_ihe_heaItD_iQ5U!:dQc.e 



3 oarticioat 



i9_r _t he_aQed__yrgQr am. _ych_ _S tender 35 __ai] 0g.__d.ir.5Ct Li 

__Iii_3-_t2-___? _ ,j _Lit___L_c.ac?_B_Si;± l_:?l___-t ______________ 

peino served and shai 1 not concern 2_na___i_J St. r ucLyr e o_r 

administration gf home heaU_ _;2£__.i£i £5_t._I _:t5en_s.uc_n 

Stanqards are d i recti I v necessary to insure Quality ot care. 

(Ch. Ill 1/2, rar. 2808) 

Sec- 8. In_c onsider i_ng_ari aeg_iic a t ion _f_gr a license pr 

renewal, ot a license as a home health aoencyt t h=- Qegar'.mpnt 

may consult with the health systems agency in tne _,ar_t ]_c _I_.r 

area which tho app lica nt inten ds to serve to insure that the 

home health aoencv service i s g enerally consistent witn tne 

health service plan (or the area - Such consultation shall pe 

advisory o_L* to aid _._■__ _Q_.2 _____■_!__. j_n ma.k.i__ _Q_ 

_.°t"L!_i__!^i2____^y_re__y___r__s uosoc t i°n___l_9.L_t Di_ _e_t j_on. 

An application for a license may De denied tor any of tne 
followino reasons: 

(a) failure to meet the minimum stanoards prescrioed Dy 
;o Sec t i on 6 ; 
lence that the moral cnaracter of 
sor of the agency is not reputable. 
icter, tne Department may tane into 
ions of tne applicant or supervisor 
not operate as a oar to licensing; 

(c) lack of personnel qualified Dy training gr and 
experience to properly perform the Sk^t. i_f.i_c. tont * ren-o t--e 
home health it r .*i_£i___2DQS2iJiv_t.h2 aaency; 

(d) insufficient financial or other resources to operate 



2> the Department pursuant 
2b (b) satisfactory e> 

21 the applicant or supei 

-i In determining moral c h< 

2-> consideration any c on v 1 

30 but such convictions snal 



10_ 
103 



155 



-3- LRB3l02V9jKPmkA 

1 ana conduct a home health agency in accoroance witn the 127 

2 requirements of this let and the minimum standards, rultS and 128 

3 r<?au)at<ons promulgated thereunder; 

<• (e) o_e___±_n of tne_ siency woulc. causg sprigg; 130 

5 __s__2_ _o__Qr _____________ _ojij i2.2_L2__t.ho ______] ______ . 13 1 

6 t!°__Ll_ services _?_._____ i n t he particular ar ee t h _ agency 132 

7 itLtt_.________.___.__. The-a ?*«ey-Sees-«et--Keer»t — eei't+H-catTon 

a of-5;3fe»?l-ffe«-the-Hejlth-57St(r»5-3«ntT-rt-tne-dre«w 134 

(Ch. Ill 1/2. par. 2810) 136 

*> Sec- 10. (a) The Department may. upon its own motion. 138 

10 ana snail upon the verified complaint in writing of any 139 

11 person setting fortn facts wnich if proven would constitute IvQ 

12 grounds for the denial of an application for a license. or 1 4 1 

13 refusal to renew a 1 icense. or revocation of a 1 icense. 142 

14 investigate the applicant or licensee. Before denying an 

15 application, or refusing to renew a license, or revoking a 1 4 J 
1 >> license, the Department shall notify the applicant or 14' 

17 licensee. 

18 (D) Such notice shall be effected by registerec mail or 14< 

19 py personal service setting forth the particular reasons for 14", 

20 tne proposed action and fixing a date, not less tnan 15 days 141 

21 from the date of such mailing or service, at whicn time tne 14' 

22 aopl leant or 1 icensee shall be given an opportunity tor a 1 ;> I 

23 hearing. Such hearing shall be conducted by the Director or 15 

24 by an employee of the Department designated in writing oy tne 15, 

25 Director as Hearino Officer to conduct tne hear inq. On tne 

2i> basis of any such hearing, or upon default of the applicant 15 

27 or licensee. the Director snail max e a determination 15 

23 specityinq his Mndin-js and cone Iusiots. 15 

29 (c) The procedure governing hearinas autnori_eo by this 15 

30 Section shall be in accoroance with the Illinois 15 

31 Administrative Procedure Act «n,th-i-5-t«t,ri:45l T -- 3( ,o«iteJ--eno I: 

1 3 w*F<»- i-ctKeee-tn-Vflis-ittr-e.eeBt-tBd^-fn- -eait--sl eo«i-t--. t 1 < 

34 ., tl .e-R-^e-t»,-*.H-n»e--s^»t*i»M--»r-i»T*--*et-»h a « 



I 56 



-<.- L»B31U2993K.PmkA 

i eontroK 161 

2 (0) The Oirector or Hearing Officer s ha 1 I upon n,s own 163 

3 motion. or on the written request of any party to tne Ib^ 
<• proceeding, issue subooenas requiring the attendance ana tne 165 

5 giving of testimony Dy witnesses, ana subpoenas duces tecum 166 

6 requiring the production of book S . papers. recoras. or 167 

7 memoranda- All subpoenas ano subpoenas duces tecum issued 

S under the terms of this Act may be served Oy any person of l^B 

9 full aae. The fees of witnesses for attendance and travel 169 

10 shall be the same as the fees of witnesses before the circuit 170 

11 court of this State. Such fees to be paid wnen the witness is 171 

12 excused from further attendance. Jhen the witness is 172 

13 subpoenaed at the instance of the Oirector, or Hearing 

1 *j Officer, such fees shall De paid in tne same manner as other 173 

1 5 e»p"?nses of the Department. ano when the witness is 1 7 <. 

16 subDoenae-i at the instance of any other party to any such 175 

17 proceeaina tn e Department may reouire that the cost of 1/6 
13 service of the subpoena or subpoena duces tecum and the fee 

19 of the witness be borne by the party at -nose instance tne 177 

20 witness is summoned- In such case, the Depjrtment in its 176 

21 discretion, may require a deposit to cover tne cost of sucn 179 

22 service and witness fees, a subpoena or subuoena duces tecum Idu 
2i issued as aforesaid shall be served in the same manner as a 1 o 1 
2". subDoena issued out of a court. 

25 (e) Any circuit Court of this State upon tne application 183 

26 of the Director, or upon the application of any other party 13'- 
2 1 to the oroceeding, may, in its discretion, compel tne 135 

23 attendance of witnesses, the production of doo*s« papers, 136 
29 records, or memoranda and the oiving of testimony before tne ld7 
3u Director or Hearing Officer conducting an investigation or 136 

31 holdino a hearing authorized by this Act, Dy an attachment 139 

32 for contempt, or otnerwise. in the same manner as production 

33 of evidence may be compelled oefore tne court. 1 <u 
3*. (f) The Dir?ctor or Hearinc Officer, or an, oarty in an 1 -, 2 
35 i n v°s t i oat i on or hearing oefore tne Department, may cause tne Hi 



! 57 



-5- LA&dlv. 

cepoii tions of witnesses uithm tn e State 

manner prescrioed by d- for 1 i 

actions in courts of this State> and to tnat end compel tni 

attendance of witnesses and tne oroduction of booksi papers^ 

recor3s. or memoranda. 



>e ta I 



oepos i t > on < 



r >S 



RECOMMENDED BILL THIRTEEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Revenue 

PROPOSED RULEMAKING: Licensing for Bingo, Rule No. 1 Under the Bingo 
License and Tax Act (Proposed July 21, 1978) 

BACKGROUND: The Joint Committee objected to this proposed rule because of 
two provisions which did not provide statements of standards on which actions 
by the Department would be based (see page 56). One of the provisions 
concerned requiring and setting the amount of a bond for a limited bingo 
license and the other provision concerned requiring an additional bond for a 
licensee. In both provisions, the Joint Committee believed there were 
inadequate standards to guard against arbitrary action by the agency and to 
fully inform the public of the agency's policy toward exercising its discretion 
in these areas. The Department refused to modify the rule, stating that 
standards, if necessary, would be stated in the statute and the Department 
should not limit its discretion. 

SUMMARY OF LEGISLATION: This amendment to the Bingo License and Tax 
Act will clarify the general provisions for the requirement of bonds from 
bingo licensees and require the Department to state in the form of rules its 
standards for exercising its discretion in this area. 



159 



RF.COMMF.NDF.D RILL THIRTF.F.N 



INTRODUCED . 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 

BY 



SYNOPSIS: 



(Ch. 120, par. 1103) 



Amends the Bingo License and Tax Act. Requires 
the Department of Revenue to establish standards by rule, 
subject to the Illinois Administrative Procedure Act, to 
determine the necessity for bonding, amount of bond and the 
necessity for additional security for a bingo licensee. 



LRB8103109FGjpA 



Fiscal NoS« Ad 
maybe amicable 



A BILL FOR 



161 



-2- 



L«ad I 3 1 0>Fu jo< 



t he__oa v;ent tg the Qeoar .tl^nt of Revenue, pr ^ppl icapl e 

ta«es._Suc h ru ) oinak i no j s su oiect to tne 212v^signs_ gr__ine 

I!ll no .i5 il^irjist ra t^ve ELQC. SL2yre__Act . Tne provisions ot 

Sections <., 5, 5 d , it,. 5c 3d. ie. Sf, -iq. z>h, 5i. t> j . 6, faa. 
6D, 6c , 6, 9, 10, II. 12 and 13 1/2 of the "Retailers' 



OCcuodtion Tam act" whicn a 
snail aoDly. as far as Dract 
tnis Act to tne same e« 
included in tnis act- Fo 
references in sucfi incorpo 
Occupation Ta« Act" to retai 



e not inconsistent witn this Act 
cablet to the suoject matter of 



ent as if such provisions -ere 
tne purposes of tnis Act, 

10 references in sucfi incorporated Sections of tne "Retailers' 

11 Occupation Ij, Act" to retailers, sellers or persons engaged 

12 in tne business of selling tangible personal property means 

13 persons engaged in conducting t) ■ na o games, and references in 
1 <. such incorporated Sections of the "Retailers' Occupation Ia« 

15 Act" to sales of tanqible personal property mean tne 

16 conducting of bingo oames. 

1? One-half of all of tne sums collected unaer this Section 

Id sn a ll be deposited into the Mental Health Fund and 1/2 of all 

19 of the sums collected under tnis Section snail be Deposited 

20 in the Common Scnool Fund. 



163 



RECOMMENDED RILL FOURTEEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 



AGENCY: Department of Revenue 

PROPOSED RULEMAKING: Retailers' Occupation Tax — County Fairs (Proposed 
August 11, 1978) 

BACKGROUND: The proposed rulemaking would have provided for daily 
collection of sales tax at "county fairs, art shows, flea markets and the like" 
as well as the State Fair. The Joint Committee at its September 18, 1978, 
hearing issued a statement of objection to the proposed rulemaking as 
exceeding the Department's statutory authority, (see pages 56 - 57). The 
Joint Committee also felt that as a matter of policy this may be a valuable 
procedure and agreed to develop legislation to grant this authority to the 
Department. 

SUMMARY OF LEGISLATION: This amendment to the Retailers' Occupation Tax 
Act (Section 3; IU.Rev.Stat.l977,ch.l20,par.^2) would allow the Department 
to collect the tax daily at the Illinois State Fair and at county fairs, art 
shows, flea markets and similar activities when the Department finds that 
there is a significant risk of loss of revenue to the State because of a large 
number of out-of-state retailers or other reasons. 



65 



RECOMMENDED BILL FOURTFFN 



INTRODUCED. 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
. _. BY 



SYNOPSIS: 



(Ch. 120, par. 442) 



Amends the Retailers' Occupation Tax Act. Allows 
the Department of Revenue to collect the tax daily at the 
Illinois State Fair, art shows, flea narkets and other 
sinilar events when the Department finds that there is a 
significant risk of loss of revenue to the State because of a 
large number of out— of— state retailers or other reasons. 



LRE8102263KPak 



fiscal Nets Ad 
ma; -be cp^icabfe 



A BILL FOR 



167 



L-tBdlu22fc3KPal< 



*n AC! to amend Section 3 ot the "Retailers' Occupat 
>ct", approved June 28, lv33, as amended. 



b e it o nac,teq_hY_thg_Pegp_j_e_of the Vtaig of Ulinoisi 

reoriented in the r»n-ral »s spnhly : 



Section I. Section 3 or the "Retailers* Occupation lax 
Act", approved June 28, 1 V 3 3 , as amended, is amended to read 
as fol lovs: 

(Ch. 120, par. <,<,2) 

Sec. 3. Except as provided in this Section, on or 
Detore the last day of each calendar month, every person 
enqaqec in the business of selling tangible personal property 
at retail in this State ourinq the precedinq calendar month 
shall tile a return with the Department, statinq: 

1. 1 he name ot the seller; 

2. His residence adoress and the address of his 
principal place of business and the address of the principal 
place ot business (if mat is a different address) from wnich 
he engages in the business of sellinq tangible personal 
property at retail in this State; 

3- lotal amount of receipts received by him during tne 
preceoino calendar month from sales of tangible personal 
property, ana from services turnished, by him during such 
preceding calendar month; 

<.. lotal amount received by him during the preceding 
calendar rronth on charqe ano time sales of tangible personal 
property, and Iron services furnished, by him prior to the 
month tor which the return is filed; 

b. Deductions allowed by law; 

t>- Gross receipts which were received by him during tne 
precedinq calendar month and upon the basis of whicn the ta« 
i s i mposed ; 

/. The amount of tax due; 

B. lr.e amount of penalty due. it any; 



68 



-2- lRe81022fc3K.Pat< 



9. Sucn other reasonable information as the Department 92 



2 nay reoui 



It the retailer's averaqe monthly tax liability to tne 
Department does not exceed siou. the Department may authorize 
his returns to be filed on a Quarter annual basiSt with tne 
return for January* February and March of a given year being 
cue Oy April 30 of such year; with the return for Apr i 1 t May 
and June of a given year being due by July 31 of sucn year; 
with the return for July, Auqust and September of a given 
year beino due by October 31 of such year, and witn the 
return tor October, November and December of a given year 
being oue by January 31 of the following year. 

If the retailer's averaqe monthly tax liability witn the 
Department does not exceed S20, the Department may authorize 
his returns to be filed on an annual basis, with the return 



100 
101 
102 
101 



lo 


tor a oiven year being due by January 31 of the following 


1U7 


1 7 


year . 




18 


Such Quarter annual and annual returns, as to form and 


109 


19 


substance. shall be subject to the same requirements as 


110 


2U 


monthly returns. 




21 


Not w i thst and i nq any other provision in this Act 


112 


22 


concerninq the time within which a retailer may file his 


I 1 3 


23 


return, in the case of any retailer who ceases to engage in a 


114 


2*. 


kino of business which makes him responsible for filing 


115 


25 


returns under this Act, such retailer shall file a final 




2e» 


ri'turn unoer this Act with the Department not more than one 


1 16 


2/ 


n.onth after discontinuing such business. 


1 17 


2d 


Where the same person has more than one business 


119 


29 


registereo with the Department under separate registrations 


120 


30 


unoer this Act, such person may not file each return that is 


121 


31 


oue as a s i nq 1 e return covering all such registereo 


122 


32 


businesses, but shall file separate returns for each such 




33 


registereo business. 


123 


3«. 


In aodition, with respect to motor vehicles ano aircraft. 


125 


35 


every retailer selling this kind of tangible personal 


126 



169 





-3- LH3al022b3KPaK 




1 


prooerty snail filet with the Depar trnent . upon a form to be 


127 


2 


pr esc r i nee anc suoplied by the Department* a seoarate return 


128 


3 


for each such item of tangible personal property wnich tne 


129 


* 


retailer sells, except that where* in tne same transaction, a 


130 


' 


retailer of notor vehicles transfers more than one motor 




° 


vehicle to another motor vehicle retailer tor the purpose of 


131 


7 


resale* such seller tor resale may report the transfer of all 


132 


« 


color vehicles involved in that transaction to the Department 


133 


- 


on the same uniform i n vo i ce- t r ans ac t i on reportinq return 


134 


lu 


torm. 




1 i 


Such transaction reoortina return in the case of motor 


136 


12 


vehicles shall be the same document as the Uniform Invoice 


137 


1 3 


referred to in Section 5-402 ot The Illinois vehicle Code and 


138 


is 


must snow the name and address of the sel ler; the name and 


139 


1 3 


address ot the purchaser; the amount of the selling price 


140 


lo 


mcluoinq the amount allowed by the retailer for traoed-in 




U 


property* it any; the amount allowed by the retailer for tne 


141 


Id 


traoeo-in tangible personal property, if any. to the extent 


142 


lv 


to whicn Section 1 of this Act allows an exemption for the 


143 


ifO 


value ot traded—in property; the balance pavaDle after 


144 


21 


oeouctino such trade-in allowance from the total selling 


145 


22 


price; the amount of tax due from the retailer with respect 




23 


to such transaction; the amount of tax collected from the 


1<,6 


2<. 


purchaser by the retailer on such transaction (or 


147 


25 


satisfactory evidence that such tax is not Oue in that 


148 


2o 


particular instance, it that is claimed to be the fact); the 


119 


2 7 


place ano date ot the sale; a sufficient identification of 




26 


tne prooerty sola; such other information as is required in 


150 


2v 


Section 5-<.02 ot 1 he Illinois Vehicle Code. and sucn other 


151 


3u 


information as the Department may reasonaDly require. 


132 


31 


Such transaction reportinq return in the case of aircraft 


15<. 


j»2 


n.ust snow the name and address of the seller; the name ano 


1 33 


33 


adoress ot the ourchaser; the amount ot the selling price 


156 


3-. 


including the amount allowed by the retailer tor tradeo-in 


137 


33 


property, if any; the amount allowed by tne retailer for tne 


156 



I '0 



LK38 lU22fciK 



1 iraoeo-in tar.qible personal property, ir any, to trie extent 

2 to which Section 1 ot this Act allows an e«emption for tne 
J value ot traoea-in property; the balance payaole after 
<» ceouctina sucn trade-in allowance from the total selling 
z> price; the an-ount of tan due from the retailer with resoect 

to such transaction; the amount of tax collected from tne 

1 purcnaser Dy the retailor on such transaction (or 
o satisfactory evioence that such tax is not Oue 
9 particular instance, if that is claimed to be the fact); the 

place ana aate ot the sale, a sufficient identification of 
tne property solo, and such other information as tne 
Department may reasonably require. 

Sucn transaction reporting return shall be filed not 
later than 30 days after the day ot delivery of the item that 
is teino sold, hut may be filed by the retailer at any time 
sooner than that it he chooses to do so. The transaction 
report ina return and tax remittance or proof of exemption 
from the Illinois use tax may be transmitted to tne 
Department by way of the State agency with which, or State 
officer with whom the tangible personal property must be 
i 1 titleo or registered (it titling or registration is required) 
22 it the Department and such aqency or State officer determine 
2i that this procedure will expedite the processing of 

2«i applications for title or registration. 

2a nith each such transaction reporting return, the retailer 
2c shall remit the proper amount of tax due (or shall submit 
Zl satisfactory evicence that the sale is not taxable if that is 

2d tne case), tc the Department or its aqents, whereupon the 
2v Departrrent shall issue, in the purchaser's name, a use tax 
JU receipt (or a certificate or exemption it the Department is 

31 sstistied that the particular sale is tax exempt) whicn such 

32 purcnaser rray submit to the agency witn wnich, or State 

33 officer with whom, he must title or register the tangible 
3<« personal property that is involved (if titling or 
3t> registration is required) in support of such purchaser's 



I 61 
162 



that I6« 



169 
1 rO 
1 / 1 
172 
173 



... ! 



171 





-5- L«oai022fc3KPak 




1 


application for an Illinois certificate or otner evidence of 


189 


2 


title or registration to suCh tanqiblo personal property. 


190 


3 


No retailer's failure or refusal to remit tax under this 


192 


<• 


Act precludes a user, who has paid the proper tax to the 


193 


' 


retailer, from obtaining his certificate of title or other 


19<. 





evidence of title or registration (if titling or registration 


195 


7 


is rtauiren) upon satisfying the Department that such user 


196 


tJ 


has paid the proper tax (it tax is due) to the retailer. Tne 


197 


9 

10 


Department shall adopt appropriate rules to carry out the 
rr.anoate of this paraqrapr,. 


198 


1 1 


11 the user who would otherwise pay tax to the retailer 


200 


12 


wants the transaction reporting return fi led and the payment 


201 


13 


of ti.e tax or proof of exemption made to the Department 


202 


1^ 


before the retailer is willing to take these actions ana such 


203 


13 


user has not paid the tax to the retailer, such user may 


20<. 


lo 


certify to the fact of such delay by the retailer ana may 




1 1 


(upon the Department being satisfied of the truth of such 


205 


Id 


certification) transmit the information required by tne 


206 


14 


transaction reporting return and the remittance for tax or 


207 


2o 


proof of exemption directly to the Department and obtain his 


208 


21 


tax receipt or exemption determination, in wnich event tne 


209 


22 


transaction reporting return and tax remittance (if a tax 


210 


2i 


payment was required) shall be credited by the Department to 




2<* 


the proper retailer's account with the Department, but 


2 1 1 


2d 


witnout the 2* discount provided for in this Section being 


2 12 


26 


allowed. When the user pays the tax directly to the 


21 3 


2 / 


Department, he shall pay the tax in the same amount ana in 


214 


2d 


the same form in which it would be remitted it the tax had 




29 


been remitted to the Department by the retailer. 


215 


30 


Refunds rrade by the seller during the preceding return 


217 


31 


period to purchasers, on account of tangible personal 


218 


3* 


property returned to the seller, shall be allowed as a 


219 


33 


deduction under subdivision 5. in case the seller had 


2 20 


3*. 


tnet e tot or e included the receipts from the sale of such 




3> 


tanoible personal property in a return filed by him ana had 


221 



72 



-o- IRtAd 102263K^ak 

pam the tan imooseo by this lei with respect to such 
rfc»i ots. 

wnere the seller is a corporation, the return filed on 
oenatt ot such corporation shall he siqned by the president, 
vice-president, secretary or treasurer or by the properly 
accredited acent ot such corporation. 

Except as provided in this Section, the retailer filing 
the return under this Section shall, at the time of filing 
such return, pay to the Department tne amount of tax imposed 
by this »ct less a discount of 21 or iS per calendar year. 



229 

2 JO 



II whichever is qi 



s allowed to reimburse the 232 



12 retailer for the expenses inci 



ieep i nq r ec or 



preparino and t i 1 i nq returns, remittino the tax and supplying 
cata to the Department on request. In the case of retailers 
who report and pay the tax on a transaction by transaction 
basis, as provided in this Section, such discount shall De 
taken with each such tax remittance instead ot when such 
retailer files his periodic return. 

Ji the taxpayer's average monthly tax liability to the 
Department under this Act, trie "Use fax Act", the "Service 
uccupation lax Act", the "Service Use lax act", tne 
"Municipal Retailers* Occupation Tax Act", tne "Municipal 
Service Occupation lax Act", the "County Retailers' 
Occupation lax Act" and the "County Service Occupation lax 
Act" exceeded iS.OOO during the preceding 4 complete calendar 
Quarters and the taxpayer is not required to make quarter 
monthly payments under this Section, he shall file a return 
with the Department for each month by the end of the month 
durinq which such tax liability is incurred. !f the Director 
ot Revenue finds that the information reauired for the making 
ot sn accurate return cannot reasonably be compiled by a 
taxpayer hy the end of the current calendar month for wn i c h a 
return is to be made, he may grant, tor a period of one 
calenoar ouarter, a continuing one month extension of time 
tor the tilino ot such returns. The granting of such an 



233 

23<- 
2 3-. 



23S 
2<.< 

2<. i 
24« 

24; 

2 4' 
2<>« 

2,., 
2V 
241 

2<-' 
25l 
25 
25. 

; 5 



17] 



-7- LRD8102263K.PaK 

extension may be conditioned upon tne deposit by a ta«payer 
witn the Oepar t ment of an amount of money not exceeding tne 
average montnly tax liability of the taxpayer to the 
Department for the preceding <• complete calendar quarters 
(excluoinq the month of highest liability and the month of 
lowest liability in such <, quarter period). Once applicable! 
the requirement of the deposit shall continue until the 
taxpayer's averaae monthly liability to tne Department during 
the precedind <r complete calendar quarters (excluding the 
.Tontn of highest liability and the month of lowest liability) 
is less than i<,,50C. or until the taxpayer's average monthly 
liability to the Department as computed for eacn calendar 
quarter of the preceding *. complete calendar quarter period 
is less than lb ,000. 

Ali such deposits shall be credited against the 
taxpayer's liabilities under this Act, the "Use Tax Act-, the 
"Service Occupation lax Act", and the "Service Use lax Act". 

It the taxpayer's averaqe monthly tax liability to the 
Department unoer this Act, the "Use Tax Act", the "Service 
Occupation lax Act", the "Service Use Tax Act", tne 
"Municipal Retailers' Occupation Tax Act", the "Municipal 
Service Occupation lax Act", the "County Retailers* 
Occupation Tax Act" and the "County Service Occupation Tax 
Act" was 12^,000 or more dur.ng the preceding A complete 
calendar quarters or was 110,000 or more if such <• quarter 
period ended on or after March 31, 1977, he shall file a 
return with the Department each month by the end of the month 
next following the month durinq which such tax liability is 
incurred and shall make payments to the Department on or 
cetote the 7th, 15th, 22nd and last day of the month during 
which such liability is incurred in an amount equal to l/<. of 
the taxpayer's actual liability for the month or an amount 
set by the Department not to exceed l/<t of the averaqe 
monthly liability of the taxpayer to the Department for the 
precedinq 4 complete calendar quarters (excluding the month 



2o 


Z$' 


25: 


256 


257 


258 


259 


2o0 


261 


262 


2o3 


261 


266 


267 
2o8 



270 
2 1 1 
272 
273 

2 7A 
275 

2 lb 
2 '7 
278 



281 

282 

.■8 ) 



174 





-6- LHBfl lu2263KPak 




1 


ot h i one s t liability and the month of lowest liability in 


26t. 


I 


such <. Guar tor period). 1 ho amount of such quarter monthly 


286 


i 


payments shall bo credited aaainst the final tax liability of 


287 


- 


the taxpayer's return for mat month. Once applicable, the 


286 


Z> 


requirement of the rnakinq of quarter monthly payments to the 


289 


o 


Department shall continue until such taxpayer's average 




' 


monthly liability to the Department during tne preceding *. 


290 


tj 


complete calendar quarters (excludinq the month of hignest 


291 


9 


liability and the month of lowest liability) is less than 


292 


10 


*9,0u0, or until such taxpayer's average monthly liability to 


293 


1 1 


tne Department as comDuted for each calendar quarter of the A 


29*. 


1<> 


preceoino, complete calendar quarter period is less than 




13 


slO.OuO- If any such quarter monthly payment is not paid at 


295 


i<. 


tne time or in the amount required by this Section, then the 


296 


1 3 


taxpayer's 2X vendors' discount shall be reduced by ZX of tne 


297 


It 


Difference between the minimum amount oue as a payment and 


298 


1 7 


the amount ot such quarter monthly payment actually and 


299 


Id 


timely paid, except insofar as the taxpayer has previously 




19 


made payments tor that month to the Department in excess of 


300 


20 


the minimum payments previously due as provided in this 


301 


21 


Section. 1 he Department shall maxe reasonable rules and 


302 


22 


requlations to qovern the quarter monthly payment amount and 


303 


11 


quarter monthly payment dates for taxpayers who file on other 


3u<. 


2<. 


than a calenoar monthly basis. 




23 


It any such payment or deposit provided for in this 


306 


2b 


Section exceeds the taxpayer's present and probable future 


307 


27 


liabilities under this Act, the "Use Tax Act", the "Service 


308 


2d 


Occupation lax Act" and the "Service Use lax Act", tne 


309 


29 


Department shall issue to the taxpayer a credit memorandum. 


310 


30 


which may be submitted by the taxpayer to the Department in 




31 


payment ot tax liability subsequently to be remitted by tne 


31 1 


32 


taxpayer to the Department or be assigned by the taxpayer to 


312 


33 


a similar taxpayer under this Act, the -use lax Act", the 


313 


3*. 


-Service Occupation lax Act" or the "Service Use lax Act", in 


31«i 


33 


accordance with reasonable rules and regulations to be 


31S 



175 



-9- L*ba 102263KPak 

prescriDed Dy tne Department. 

Any deposit previously made by a taxpayer wno is required 
to make quarter monthly payments unoer this amencatory Act or 
H7o snail be applied against tne taxpayer's liability to tne 
Deportment unoer this icti the "Use lax »ct"i the "Service 
Occupation lax Act" or the "Service Use lax Act" for tne 
month precedinq the first month in which the taxpayer is 
required to make such ouarter monthly payments. If the 
oeoosit exceeds that liability, the Department snail issue 
the taxpayer a credit memorandum for the excess. 

Uf the money received Dy the Department unoer the 
provisions of this Act? after October 31, 1969, 3/A thereof 
shall be paid into the State treasury, and 1/", snail be 
reserved in a special account and used only tor the transfer 
to the Common School Fund as part of the monthly transfer 
rrom tne General Revenue Fund in accordance with Section 8 
1/2 of "An Act in relation to State finance", approved June 
10, lvlv, as amended. 

For qreater simplicity of administration, manufacturers, 
importers ana wholesalers whose products are sold at retail 
in Illinois by numerous retailers, and who wish to do so, may 
assume the responsibility for accounting and paying to tne 
Department all tax accruing under tnis Act with respect to 
sucn sales, if the retailers who are affected do not make 
written objection to the Department to this arrangement. 

Any person enga ged in the business Qf_ __lJL_ng_i_ ______ 

p ersonal prope rty _l r_t__ij a 5 a conces siona ire at t ne 

Illinois State Fair , co un ty fairs, a rt ShQwSj f lea _i___I_S. 

ana. — %Am±La!_f&!litl±^Qns_Qr^y*r,±Zz-<!!a^tlZ-L£ayLL^^Q-™a&Z^ 

__ilv re|._r__„ f tne a moun t of _ u ch_sa___ ta tng _£.__ Hi HIE. Oi 

ancl lei m_ke a _rj a jluifli!:'; nt of t _£______.________ t___;___ u __. 

Ine Depar tment shall imp ose this requ ir emen t __£_ Li _j___s. 

i02I i_£__ L_ a_-S_iQn.il i C . ant r____of__o_______ _venu______D_ 

il^t___.t_____j__in_________on pr _v_n__ iijc.h______ng L n___sn ___ 

Q£ __i__ on ________ _h__ a i __________ q± 



3i 5 
317 
3 1 B 
3 19 
320 
32 1 
322 

32 3 



i 2 9 
330 

331 
332 

3 3- 
335 
336 
337 

33b 
- 39 



3*2 
3<,3 
3<,<i 

3<.S 

i'.6 

J<,7 

3*8 



176 



IRBHI 0226 3* 



:osj 



eaaiQiria ia__i.De- _<__ia__i_ sL 

__o_er_tv_at_retaiJ_a_t the e xhi I 

__i__D__ gt__^_:_Agnj_t._i. £ ant rj_j 

__ate- ihejppaitrenj^iriaij n^^ 



■_S__Q± liI_QO_i_S will _e 

:l_i_g____Q___L_ _e.r_s_Q_na.J_ 

Lon or e.v__a_= QC ______ 

_9__i_>5__ _o__ re venye_ 12 _ 1 as 
__an_e_siona±re_s a_j_ _________ 



fi_ — _ae Iidoc Lilian _J in 

njt ____c_.lign_t>___t he Depart 

r ile thei r returns as otherwise repaired 



auirenientj La_tU_£_____.a____i. 

ins _onr_es_LL__aj_r_;_ _a_ll 

L__i__-_i__n__. 



3*9 
350 

}5 ' 
3 <Z 
35 3 



! 77 



RECOMMENDED BILL FIFTEEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 



AGENCY: Department of Revenue 

PROPOSED RULEMAKING: Coin-Operated Amusement Devices Tax (Proposed 
February 24, 1978, and September 8, 1978) 

BACKGROUND: The Department proposed in February, 1978, to change the 
method of tax assessment on coin-operated amusement devices in its rules 
from a "per device" basis to a "per slot" basis. This was intended to correct 
the rule's prior violation of the statute which clearly requires a "per slot" tax 
assessment (Ill.Rev.Stat.l977,ch.l20,par.481b.l). The Joint Committee 
objected to this change under the belief that such an assessment method 
would be unreasonable (see pages 55 - 56). The Department withdrew its rule 
and attempted to pass corrective legislations The legislation xailed and the 
Department reproposed the rule in September, 1978. The Joint Committee 
again objected, continuing to maintain that the statutory method was 
unreasonable and should be changed (see page 57). This legislation will give 
the full General Assembly the opportunity to change the method of tax 
assessment. 

SUMMARY OF LEGISLATION: This legislation will change the method of 
assessment of tax on coin-operated amusement devices from a "per slot" basis 
to a "per device" basis. This will make the tax method more reasonable and 
in conformity with the Department of Revenue's current unauthorized 
practice. 



7 9 



RECOMMENDED BILL FIFTEEN 



81st GENERAL ASSEMBLY 
State oi Illinois 

1979 and I9S0 
INTRODUCED BY 



SYNOPSIS. (ch. 120, par. 431b. 1) 

Amends Section 1 of the "Coin— Operated Anusement 
Device Tax Act". Imposes the tax on the device (not the coin 
receiving slots of the device). 



LRBS102942CLJV 

fiscal Uo'.t Act 

may bt appiiubl* 



A BILL FOR 



18] 



LSBfl 1029<.2Gl jw 

[ an act to a"">e"0 Section 1 of trie "Coln-Opsratea Amusement <.& 

2 Device Ia« »ct". approves July 7, 1953, as amended. <. 8 

3 2°_^it en 2 cte3__Dv__5 L r } o_P e2c ie_or_ L no_Stdt2_2l_lllLOQj_ii 51 

** If 0!l£if;!j t ed_j.n_t hP_Cerir.r a 1^_ A ji^Dhiyl 5 2 

5 Section 1. Section 1 ot the "C o i n-Ooer a t eO Amusement 5^. 

b Device Tax Act". approved July 7, 1953, as amended, is 53 

7 amended to read as follows: 

(Ch. 120, par. <,81b. 1 ) 57 

3 Sec- 1. There herepy is imposed, on trie privilege of 59 

9 operating every co i n- i n- t he-sl ot -ope r a ted amusement device in 60 

\0 tnis State which returns to the player thereof no money or 61 

11 property or right to receive money or property, an annual 62 

12 privilege tax of S10.00 For each device eo rn-'ec», vrig-sl-et • 



182 



RECOMMENDED RILL SIXTEEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Transportation 

PROPOSED RULEMAKING: Proposed Rule 13-3 Governing the Allocation of 
Financial Responsibility for Traffic Signal Installation, Maintenance and 
Operation (Proposed May 5, 1978) 

BACKGROUND: The Joint Committee at its dune, 1978 hearing objected to this 
proposed rule because it does not specify that traffic control maintenance 
agreements between the agency and a municipality must be renewed each 
fiscal year to be in conformity with the requirements of the State Finance 
Act (see page 58). The Department disagreed with this interpretation, but 
modified the rule by adding the phrase "The master agreement shall be in 
accordance with the provisions of all applicable law." The Joint Committee 
believes this phrase lacks adequate specificity to actually inform the 
municipalities and the public of the legal duration of such agreements. 

SUMMARY OF LEGISLATION: This suggested legislation would clarify the 
statute authorizing these agreements to clearly indicate that such 
agreements cannot bind the state to expenditures beyond the current fiscal 
year and that they must conform to the requirements of the State Finance 

Act. 



183 



RECOMMENDED BILL SIXTEEN 



INTRODUCED 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
. BY 



SYNOPSIS: 



(Ch. 121, oar. 9-1T1) 



/unends the Illinois Highuav Code bv limiting the 
highway contracts of counties and muni ci pa 1 i 1 1 es with the 
Department to the fiscal year in which such agreements are 
made, and provides that such agreements conform to the State 
Finance Act. 



LRB8192997BOak 



A BILL FOR 



185 



I } U 8 1 J 2 9 9 7 i 



193V, as anenaec. 



C oae" . apo r ovec 



6e__±5 ^netted D.v__ s .rie_PPooLe_of._s L n2_itat£_Ql_lIlxDij ± i i 

Section 1. Section 9-101 of t ne •'Illinois Hignway Coae". 
aoofoved June 3, 1939, as a.Tcnoeoi is amended to reao as 
t ol lows: 

(Ch. 12 1, per. 9--101 ) 

Sec. 9-101. Nomina in this Coae shall prevent the 
execution of cooperative agreements amonq governmental 
aoenc i e s . 

cny municipality may neootiate an agreement -.tn tne 
Department whereby tne municipal ity may use sucn funds as are 
available to it for tnat purpose for tne construction or 
maintenance of a State hignway ui thin its boundaries or wicn 
tne corporate authority of a county or road district tor tne 
construction or maintenance of a hignway on tne county 
highway system or township or district road system outside of 
its municipal boundaries. 

The county Ooard may neootiate an agreement with tne 
Department whereoy the county may use sucn funds as are 
available to it lor that purpose for tne construction or 
maintenance ol a hiqhway on the State highway system or with 
a municipality for the construction or maintenance ol streets 
on the municipal street System of sucn municipality. 

Such aoreen.ents may not bind the btnt° to expend f_uQ.qi_.Ln 

a ny f i_sc ai_vear _otheji_than trig f ^s.c a]_ _j»a r t_<± »0tCQ--IDi 

a^ ragmen t__j_s__m a de. 5_yc n__a g_r eeme_ru s__s.hai l__C°QiQ::!•!_£ _aLL 
aeeLic ahle_^r ov^ions^of "»Q__Ac.l__.i.n__re. l.a t i_sn__io.__S£.a.i.£ 

liDa0C£"i_5D n ':overl_Jyne_I0 1 _i9].9 i _ ai _ 3 m ± n'3ea. 



186 



RECOMMENDED BILL SEVENTEEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Department of Veterans' Affairs 

PROPOSED RULEMAKING: Scholarships for Military Dependents (Proposed 
September 1, 1978) 

BACKGROUND: The Joint Committee objected to this proposed rulemaking at 
its September 1978, meeting because the Department did not provide for 
reimbursement of all "mandated fees" as required by the statute establishing 
this program (see pages 58 - 59 ). Instead, the Department was 
attempting to make the reimburseable fees compatable with other 
scholarship programs administered by the Department. The Joint 
Committee objected because the rules were technically in violation of the 
statute, but agreed with the Department that compatability was desirable 
and legislation should be introduced to establish this compatability. 

SUMMARY OF LEGISLATION: This legislation would change the requirement 
that "mandatory fees" be reimbursed to a requirement that a list of specific 
fees be reimbursed, consistent with other scholarship programs. 



187 



RECOMMENDED BILL SEVENTEEN 



INTRODUCED. 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 19S0 

., BY 



SYNOI'SIS 



(Ch. 122, oar. 30-14.2) 



Ai-nends The School Cods. Provides that benefits 
under scholarships for dependents of certain military 
personnel include matriculation , graduation, activity, tern 
or incidental fees instead of mandatory fees. 



LR38102999ASma 



fel Pen ?jd 



A BILL FOR 



189 



LRS8102999ASma 

AN ACT to amend Section 30-1*.. 2 ot "The School C oc 
ovec' March 1B> 1961. as anended- 



Be_!_t_°Qactea_!2i_i t C!°_E£:oDLe_c;f ine 5-iaie of LLllDQis.j 

l£resent2.d_in_thfi_f;en 2 r 3 l__AsiPm£>IiI 



Section \. Section 30-1A.2 of "The Scnool Code", 

approved March 18, 1961, as amended, is amenoed to read as 



(Ch. 122, par. 30--1A..2) 

Sec. 30-1*.. 2. Scholarships for Dependents of military 
personnel who are prisoners, missing in action, killed or 
permanently disabled. Any spouse, natural child, legally 
adopted chilq, or any child in legal custody of an Illinois 
resident prior to or durinq the time the U. S. Department of 
Defense has declared such serviceman or servicewoman to De a 
prisoner of war, or a person missing in action, or a person 
killed or such serviceman or servicewoman has Deen declared 
by the U. S- Department of Defense or the U. S» Veterans 
Administration to be permanently disabled with 90S to 100* 
disability is entitled to 8 semesters or 12 quarters of full 

payment of tuition and anj mat r icyLaJj-QDi QC-aayaliocU 

ac t ivj_t Y.i_t e_r m_or j_D.c.LCienr_al f.endater-y fees at any State 

supported Illinois institution of higher learning for either 
full or part-time study, or 8 semesters or 12 quarters of 

payment of tuition and 4ny__mat r j_c yiaLj.on,_ gLaflydl-LSQi 

activity, term or_ incidental me«darery fees at the rate 
establ i shed by the Illinois State Scholarship Commission fo 
private institutions in the State of Illinois. Tne benefit 
of this Section shall be administered by and paid out o 
funds available to the Illinois Department of veteran 
Affairs and shall accrue to tne bona fide applicant withou 
tn e reauirement of demonstrating financial need to qualif 
for such benefits- Once a person qualifies as a oepenoen 
unoer the terms and provisions of tnis paragraph there snal 



190 



>e no s i tual 



-2- LRB8102999aSma 

such as the return of such serviceman or 
e-o^an that will remove the depenoent from provisions 
lef its of this paragraph. 



L9J 



RECOMMENDED BILL EIGHTEEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Office of the Attorney General 

PROPOSED RULEMAKING: Issuance of Opinions (Proposed May 26, 1978) 

BACKGROUND: The Joint Committee objected to these proposed rules at its 
May 26, 1978, hearing because the Attorney General lacked express 
statutory authority to adopt such rules (see page 59). The argument of the 
representative of the Attorney General's office that there was an implied 
rulemaking power in the delegation of the discretionary task of issuing 
opinions was not accepted by the Joint Committee. The Office of the 
Attorney General refused to withdraw the rules and they are currently in 
effect. 

SUMMARY OF LEGISLATION: This amendment will give the Attorney General 
express statutory authority to adopt rules in relation to the issuing of 
opinions. 



193 



RECOMMENDED BILL EIGHTEEN 



Slst GENERAL ASSEMBLY 
State of Illinois 



INTRODUCED . 



1979 and 1980 
.. BY 



Prov ides 
authority 
opinions . 



(Ch. 14, par. 4) 

Amends an Act in regard to attorneys general. 

the Attorney General with express statutory 

to adopt rules in relation to the issuing of 



RB8102937P.'!nk 
Fiscal !>:',* Ac! 



A BILL FOR 



195 





LRS8l02937P1mk 




1 


AN tC T to amend Section *. of "An Act in regard to 


<,7 


2 


attorneys qeneral and state's attorneys", approved Karen 26. 


«-8 


3 


187*., as amended. 


<>9 


<• 


Be it enact°d Dy the People of the State of Illinois. 


32 


5 


represented in tn° General Assembly: 


53 


6 


Section 1. Section 4 of "an Act in regard to attorneys 


55 


7 


general and state's attorneys", approved March 26, 187<t, as 


56 


a 


amended, is amended to read as follows: 






(Ch. l<,, par. A) 


58 


9 


Sec. <t . The duties of the attorney general shall be- 


60 


10 


first — To appear for and represent the people of the 


62 


11 


state before the supreme court in all cases in which tne 


63 


12 


state or the people of the state are interested. 


6", 


13 


Second--To institute and prosecute all actions and 


66 


1* 


proceedings in favor of or for the use of the state, which 


67 


15 


may be necessary in the execution of the duties of any state 


68 


16 


of f icer. 




17 


Third--To defend all actions and proceedings against any 


70 


18 


state officer, in his official capacity, in any of the courts 


71 


19 


of this state or the United States. 


72 


20 


fourtn — lo consult with and advise the several state's 


7<, 


21 


attorneys in matters relating to the duties of their office; 


75 


22 


and when, in his judgment, the interest of the people of tne 


76 


23 


state requires it. he shall attend the trial of any party 


77 


2<. 


accused of crime, and assist in the prosecution. 


78 


25 


Fifth — To consult with and advise the governor and other 


80 


26 


state officers. and give, wnen reguesteo. written opinions 


81 


21 


upon all legal or constitutional questions relating to tne 


82 


28 


duties of such officers respectively. 


83 


29 


Sixth--To prepare, when necessary. proper drafts for 


85 


30 


contracts and other writings relating to subjects in wnicn 


86 


31 


the state is interested. 




32 


Seventh--To give written opinions. when requested by 


bi 



! 9f, 



-Z- L«34 102^3'P '.nK 

L e'tner 5r^nch of rne leneral essemply, or any com nrtt?p 

2 tneroof. noon constitutional or legs) Questions. LD.2_.it to.rn£v 

3 QeQt r .5l__^D§li_2222t_5ece5i3Ci_^n^_ r .g^55Qf^ie_cyLe5^>:«girQ i n- 

* I!2e_I5sy20t?_ot-5^tt!_QC15L^a5i_-5ucn^uIes_snil^_r)e__sij3ie'rt 

5 I5_-i52-_2LSyi5LOQ5__Qi_in2_IiIinol S _i { iT : |n ii tr 3 iiye_Prcc l C0'JL2 

6 4&I- 

V Eicjhth--To enforce trie prooer application of funis 

■i apor oor i at ca to trie public institutions of tne state, 

9 prosecute Dreacnes of trust in trie 3 0« i n i s t r a t i on of Sucn 

10 funds. and, -r>°n necessary, prosecute corporations for 

11 failure or refusal to nave tne reports reduireo Dy law. 

12 uinth--To keep, a register of all cases prosecuted or 

13 defended by n i m , in behalf of the state or its officers, and 
1- of all proceedings had in relation thereto, dn<i to deliver 
I -> tne saire to his successor in office. 

I fa Icnth— To Keep on file in nis office a copy of tne 
I? official opinions issued by tne attorney General snd deliver 

I I same to his successor. 

I Si E 1 even th--To pay into the state treasury all moneys 

?0 received Dy him for the use of the state. 

?l Twelfth-— To attend to and perform ony other outy wn i c n 

22 may. from time to time, be reauired of him Dy law. 



100 
10 1 



197 



RECOMMENDED BILL NINETEEN 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Illinois Office of Education 

PROPOSED RULEMAKING: Secular Textbook Loan Program (Proposed March 17, 
1978) 

BACKGROUND: The proposed rulemaking established a priority system for 
implementation of the Secular Textbook Loan Program under Section 18-17 
of the School Code (Ill.Rev.Stat.l977,ch.l22,par. 18-17). The Joint 
Committee at its hearing in April, 1978 did not formally object, but 
indicated that the priority system was not contemplated by and was 
technically in violation of the authorizing statute. The Joint Committee 
suggested that an amendment to this section would clarify the statute. 

SUMMARY OF LEGISLATION: The amendment will specify that the Office can 
utilize a priority system in implementing this program. This will clarify the 
compliance of the rules with the authorizing statute and help to guarantee 
equitable distribution of available resources 



199 



RECOMMENDED RILL NTNF.TF.F.N 



INTRODUCED. 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 a^d 1980 
BY 



SYNOPSIS. 



(Ch. 122, par. 18-17) 



Allows the State Board of Education to establish 
by rule a system of equitable distribution of textbooks v/hen 
funds are insufficient to provide textbooks to all 
applicants. Also, nakes nonsubstantive chanqes. 



LRB8102 2 6lALakA. 

Kx»l Notj Act 
""J k oppfcab/e 



201 



LSBd 1U2261 AtakA 

• N ACT to Jircn3 Section 16-17 of "the School Cofle" 
approved *arcr> 1E> 1961. as amended. 

Ee it enacted Dv the People of the Stdtg or lilinQ. i^ t 

!Li.Ql£S.£C!IS0_iQ_I!2&_£gQ£riaJ fl sse m h I v : 

Section 1. Section ia-17 of "The Senool Code", approved 
f.arch 18. 1961. as amended, is awnoed to read as follows: 

(Ch. 122, par. 18-17) 

Sec. 18-17. The State Board E+V+ners-ef f ret of Education 
snail provide the-feHo-rng free of charge to any student in 
this State who is enrolled in grades kindergarten enrougn 12 
at a public school or at a school other than a puolic senool 
wnich is in compliance with tne comoulsory attenoance laws of 
tn r s State and Title VI of tne Civil Sights Act of 1°6«. tne 

loan of secular textbooks listed for use by tne S ta tg eo_ar_Q 

Gf-f-ree of Education. Tne foregoing service snail be provioed 
directly to tne students at their request or at tne request 

of their parents or guardians. Tne State £°df_d. Stf-re-e of 

Education snail adopt appropriate regulations to administer 
this Section and to facilitate the equitable participation of 
all students eligible for benefits nereunoer. 

FoL_byCbose_gf__t hi_s__Secxi_20 StlgD jva i_l3b_l_g Lungs. ax£ 

i nsu f f ic i ent to provide tne loan of secular textpooks to all 

e 1_^0 _i_b_2e_s t udent s. the State 3oard of Education may estaol_js_n 

by rule a s«it»«_of priorities based solely on grape level t.Q 

Lll'A r _ e -_-.3i!i! a .2.I?._?!i§! r -i n -ij t ion_of loaned sec U l.a_r tj«tieuU; 

Such ru le j^ak i^n a _i_s _sy b_[ec_t __ to_t ne _rj r o v i_s i_on s _of__t ne__l_ LI- 10.9.1- s 

£2 m L!3i-i LLii t i.ve_P r ocedy£e_A ci.i 



202 



RECOMMENDED BILL TWENTY 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Illinois Office of Education 

PROPOSED RULEMAKING: Rules for Pupil Transportation (Proposed June 30, 
1978) 

BACKGROUND: These rules represented a complete revision of the Office's 
School Bus and Pupil Transportation rules. Some of the changes reflected 
shifting of authority for various phases of regulation between the Office of 
Education, the Department of Transportation and the Secretary of State. 
The Joint Committee considered the rules at its July 25, 1978, meeting, but 
did not formally object. It was felt, however, that additional statutory 
authority was needed to make the regulations requiring school bus driver 
permits actually effective. Instances were cited where the lack of 
enforcement of this requirement had resulted in accidents. 

SUMMARY OF LEGISLATION: This legislation would expressly authorize regional 
superintendents and local school boards to monitor compliance with the 
requirement that bus drivers have valid school bus driver permits. It would 
also allow a local school board to cancel contracts with transportation 
providers for evidence of non-compliance with this requirement. 



?0 3 



RECOMMENDED RILI. TWFNTY 



Slst GENERAL ASSEMBLY 
State of Illinois 



rNTRODUCED. 



1979 and 15 
BY 



(Ch. 122, 

fiends 



par. 29-6.1) 



The School Code. Authorizes regional 
superintendents and local school boards to ronitor compliance 
with the statutory requirement that bus drivers have valid 
school bus driver permits. Authorizes local school boards to 
cancel contracts with transportation providers based on 
evidence of non-comoliance with this recuirement . 



LP391029 39SK?.): 



205 



IKES 10293vSK3k 

1 AN AC I to arrena Section 29-6.1 of "The School Code". <>•/ 

2 aoproveo '.ircn 18. 1961 i as a^enoeo. b\ 

3 f ?_J-i_eQac t eg_fiv_the_?50oL=_of tne Sta.tg__gf iiliDaiii '- 

* teC!L£i2Ql°0_i.Q_inp_G£Q2r3l_AS5_e3;r)Iii 33 

5 Section 1. Section 29-6.1 of "The Scnool Code", approved b 7 

6 rarch 13, 1961, as amended, is amended to read as follows: Se 

(Ch. 122, par. 29-6.1) 60 

1 Sec. 29-6.1. Contracts for transportation. Scnool ooaros 63 

3 may enter into 1, 2 or 3 Year contracts for transportation of &<• 

9 pupils to and from scnool. 

10 St-DSoJ DSdCds ant). i reoional sup er i nt eno°nts m^v conduct 66 

" sy^n_invc.srioation^_as_2a^_t>e_j:ecess.ar^_to__insurg tn s r a]_! °7 

1 2 gir.sgns__h!^ecl ^v a_cgn t rac t_or _t o_o oer at e_sc nog! ays_es._nave o3 

• 3 va| 1 g_scho 3 I_r)us_driver_P2rm 1 ts_ai 1 eiy^r eci__unner iec.ti.gns o9 

I *• tli'li: ana 6;J.O 6. 1 9£__"I&S LLl±Q9i5__yen ± c I5_C.S'J£" - li_a. 

•' L§dLCQ3! S'Jfier j_n t 2Qge_nt f i n o s S_yhs t an iiaj SliQgnc^ of 70 

I 3 gon-c 2!TC!lLi?Qce with this r eou i r ement in tne case of any sue" 7 1 

I' cgntj; 3c Ljt_Ge_shal 1 reco-"nepd to tne scnool ooard ter5j.n3tj.c1n 72 

ld S? ins CjJCLtract!. The s.cho_gl BQarg__ma.v ieL m iDd t £__SUC.t! 

1 » cont r a c ts._baseg_gn_s.ych_rec.S!rmiJ3^it i gQS_gr_gtner_iv 1 genc£__Qi 73 

20 non-coaBlianc.g_witf._tng_carmit r £a ujr£S£QJLS.x ?<• 



206 



RECOMMENDED BILL TWENTY-ONE 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 



AGENCY: State Board of Elections 

PROPOSED RULEMAKING: Reorganization and Updating of Rules (Proposed 
April 28, 1978) 

BACKGROUND: A number of difficulties were discovered and resolved in this 
reorganization of the State Board of Elections ruieSo One remaining 
difficulty was the problematic nature of the statutory authority for 
requiring publication of notices of primary elections in Chicago and Cook 
County. The statute (Ill.Rev.Stat.l977,ch.46,par.7-i5) requires "posting.. .in 
the same manner as notice of election for general elections are required to 
be posted..." However, over the years, the election code has been amended 
so that now the statutory requirement for posting for general elections has 
been changed to a publication requirement. The Board was interpreting 
"posted" in this section to include "published" and was thus imposing a 
publication requirement. While the Joint Committee agreed with the policy 
behind the Board's rule to require publication, it was felt that the language 
in Section 7-15 should be amended to update the statute and to provide 
clearer authority for this requirement. 

SUMMARY OF LEGISLATION: The legislation would simply clarify the statutory 
language to make it clear that a publication, instead of a posting, require- 
ment for primary elections in Chicago and Cook County is being imposed. 



207 



RECOMMENDED BILL TWFNTY-ONF 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
INTRODUCED BY 



.1.-NUI-M5: (Ch. 46, par. 7-15) 

Amends the Election Code. Requires notice of the 
Drinaries to be published as recuired for general elections. 



LRB810294 0KPma 



A BILL FOR 



209 





LRB8102940KPma 




1 


an ACT to amend Section 7-15 of 'Tuo Election Code". 


45 


2 


approved May 11. 1943. as amended. 


46 


3 


Be it enacted by the People of tne State of I 1 1 i no i s i 


49 


U 


represented in the General Assembly: 


50 


5 


Section 1. Section 7-15 of "The Election Code", approved 


52 


6 


May 11, 19<,3, as amended, is amended to read as follows: 


53 




(Ch. 46, par. 7-15) 


55 




(Text of Section in effect until December 1, 1980) 


58 


7 


Sec. 7-15. At least 20 days before °ach primary trie 


61 


8 


county clerk of each county, or the city, village or 


62 


} 


incorporated town or town or other clerk, wnose duty it is to 


63 


10 


o i ve notice of aeneral elections under this Act, for the 


64 


1 1 


election of officers whose nomination is required to be made 


65 


12 


under this Article, snail prepare in the manner provided in 




13 


this Act, a notice of such primary which notice shall state 


60 


I* 


the time and place of holding the primary, the hours during 


67 


1 5 


wh,ch the polls will be open, the offices for which 


68 


16 


candidates will be nominated at such primary and tne 


69 


IV 


political parties entitled to participate therein. 




18 


notwithstanding that no candidate of any such political party 


7u 


19 


may be entitled to have his name printed on the primary 


71 


20 


ballot. 




21 


In counties, cities, villages, incorporated towns or 


73 


22 


towns having fewer than 500.000 inhabitants such notice shall 


74 


23 


be published once in two or more newspapers printed and 


75 


2". 


published in the county, city, village, incorporated town or 


76 


25 


towns. as the case may be, or if there is no sucn newspaper. 


77 


26 


then in any two or more newspapers printed and published in 


78 


27 


the county and having a general circulation throughout the 




28 


C ommu n i t y • 


79 


29 


In counties, cities. villaoes. incorporated towns or 


81 


30 


towns having 500,000 or more inhabitants such notice shall be 


82 


31 


Qy h Li^!}?d onstee at least 15 days prior to the primary oy tr.e 


84 



210 





-2- LRB81029«,OKPma 




1 


same authorities and in the same manner as notice of election 


85 


2 


for general elections are required to De oubl i Shed pontes in 




3 


counties, cities, villages, incorporated towns or towns of 


86 


* 


500.000 or more inhabitants unoer this Act. 


." 




(Tent of Section taking effect Oecemoer 1, 1980) 


90 


5 


Sec. 7-15. At least 20 days before the general primary 


93 


6 


the county clerk of each county, and at least 20 days before 


9<, 


7 


the consolidated primary the local election official of each 


95 


B 


unit of local government for which nomination of officers is 


96 


9 


required to be made under this Article, shall prepare in the 


97 


10 


manner provided in this Act, a notice of such primary which 


98 


11 


notice shall state the time and place of holding the primary. 


99 


1? 


the hours during which the polls will be open, the offices 


100 


13 


for which candidates will be nominated at such primary and 


101 


1* 


the political parties entitled to participate therein. 




15 


notwithstanding that no candidate of any such political party 


102 


16 


may be entitled to have his name printed on the primary 


103 


17 


bal lot. 




18 


In counties, municipalities, or towns having fewer than 


107 

1 


19 


500,000 inhabitants such notice snal 1 be publ ished once in 




20 


two or more newspapers publ is he d in the county, municipality 


108 j 


21 


or to-n, as the case may be, or if there is no such 


no 


22 


newspaper, then in any two or more newspapers publisned in 


in I 


23 


the county and having a general circulation throughout the 




2<< 


commun i t y. 


112 


25 


In counties, municipalities, or towns having 500,000 or 


116 


26 


more inhabitants such notice shall be DyiLlS-tieci postco at 


1 17 


27 


least 15 days orior to the primary by the same authorities 


1 1 8 


28 


and in the same manner as notice of election for general 


119 


29 


elections are required to be CybHshed foitta in counties. 


120 


30 


municipalities or towns of 500,000 or more innabitants unoer 


121 


31 


this Act. 




32 


Section 2. This Act does not accelerate the taking effect 


123 


33 


of any part of the version of any Section for which a 


12<. 


3<. 


deferred effective date is specified and does not defer or 


125 



211 




212 



RECOMMENDED BILL TWENTY-TWO 
LEGISLATION FROM PROPOSED RULEMAKING REVIEW 

AGENCY: Division of Vocational Rehabilitation 

PROPOSED RULEMAKING: Criteria for Evaluation of Programs (Proposed May 
26, 1978) 

BACKGROUND: These rules, which governed a number of key functions of the 
Division of Vocational Rehabilitation, were proposed in May 1978. The Joint 
Committee considered the rules at its June 1978 hearing and formally 
objected to the rules because the Board lacked express statutory authority 
to adopt rules, even though rulemaking authority could possibly be inferred 
from the Act establishing the division. The Joint Committee believed that 
an express grant of rulemaking authority would clarify the agency's powers. 

SUMMARY OF LEGISLATION: This amendatory legislation would expressly grant 
rulemaking authority to the Board of Vocational Rehabilitation in carrying 
out its powers and duties. The amendment also replaces unnecessary 
language relating to the applicability of the Illinois Administrative 
Procedure Act. 



213 



RECOMMENDED BILL TWFNTY-TWO 



81st GENERAL ASSEMBLY 
State oi Illinois 

1979 and 1980 
INTRODUCED BY 



SYNOPSIS: (Ch. 23, par. 3434a) 

Amends An Act in relation to vocational 
rehabilitation of disabled persons. Provides the Board of 
Vocational Rehabilitation with express authority to adopt 
rules necessary to accomplish the purposes of the Act. 



LRB8102260PMdvA 

Fiscal Note Act 
may be applicable 



A PMl FOR 



215 



Hb6 10^bJPH O v4 

AN ACT to amena Section 3a of "An Act in relation tc 
vocational r enab i 1 i tat i on of disabled persons", approved Jun? 
28, 1^21, as amenoed. 

Be_i^_e"_acteo_bv_the._Peqr i !e_o£ tne_.State of Illinsiii 

regresen tgfl in th; General 'ssempl v: 



Section I. Sect 

vocational renabilitat 
28, 1921, as air-enoeo. 



on 3a of "An Act in relation to 
on of disabled persons", approved June 
s amenoed to r-?ad as follows: 
(Ch. 23. oar. 3*.3<.a) 

Sec- 3a» In£_f.0 3r_d_of Voca t i ona I r__n____i__a_t _on snail 

ad on t__suc h__u _e s_as may Oe necessary to carry out ' ts powers 

a nj o ut'es under th is A ct and accomplish tne purposes of t h_s 

Ac t> LyCj2_ru]^ema_k i_nq_sn3 1_1 be_subj.ec t _to I _e____q v_si_on s_ _o_ 

_!_>_ Illinois A Omi n i st r a t i vg Procedure Act". Hw-DMiYrtrons 

ef--"*»e--j-4-4-4-»o;-5--A.e»;-!»4-^*-F-a%-,.ve — a reeeao ,.».-- Aet"-. ^wf-s.fa 

5ept-«"t>9f--?Jr — +9-?^- — Sfe-nef-eSr-e'pf-esety-aoobttS-ona-inatt 
89pVy-t.9-eH--ae»»ftVitfati»e-fB+es-an6-pfOfe(lofe5-of-tBe-ooora 
et-U 9 6s>-.sns)--l»?Rab»l-ftatt6B— on«ap--tRi-5--ketT — *»ee»t — that 
S-»e«- 1«>--5 — of — lSe--HHi<et5--»e«i»«t5tfett»e — ffseeaore — »ct 

aS9»t i-e« of- — any — n*Ve-featttPeS-By-feaefa4-l^a«-Tn-tenrreetT»n 

wi-t-s-ih *-eft- fc h?-^e^f^-i-5-BPeeWfl?a-by-Vd'.-l-f6ff-e» i-r-frrs^nrj — ftny 

etsefttTon, 



216 



Other Recommendations 

During the review of several proposed rulemakings, the Joint Committee 
discovered situations which needed legislative attention, but which were not 
amenable to amendatory legislation. To address these situations, the Joint 
Committee has adopted resolutions clearly setting forth the Joint Committee's 
views and urging legislative action on the agency's appropriation or other 
appropriate legislative action, or urging action by other state officials. Each of 
these resolutions adopted by the Joint Committee is presented on the following 
pages. 



217 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 
RESOLUTION 

Whereas, the Joint Committee on Administrative Rules has found that the rules 
entitled Accessibility Standards Illustrated, proposed by the Capital 
Development Board to implement the Facilities for the Handicapped Act 
(Ill.Rev.Stat.l977,ch.lllK2,par.3701 et. seq.) as published in the September 
8, 1978 issue of the Illinois Register , exceed the statutory and legal 
authority of the Board; and 

Whereas, the Board has refused to modify these rules in response to the specific 
objections of the Joint Committee that the provisions of the rules making 
these standards applicable to facilities not accessible to the general public 
and to the privately-funded remodeling of facilities clearly exceed the 
authority delegated to the Board by the Facilities for the Handicapped 
Act; and 

Whereas, the Attorney General would be the officer responsible for the 
enforcement of these rules or the prosecution of violators of the 
provisions of these rules; and 

Whereas, the question of the applicability of these standards is particularly 
important, since the lack of clear statement of the legal coverage of 
these rules in some areas may weaken their total effect, making them 
potentially ineffective in dealing with any facilities; and 

Whereas, this is an important issue which affects the daily lives of thousands of 
Illinois citizens; and 

Whereas, since the legislative intent of the Act is plainly stated in limiting the 
applicability of these standards to facilities open to the general public, 
new buildings, and publicly-funded remodeling of buildings the Board lacks 
the authority to legally adopt these rules which the Joint Committee has 
objected to and the Board has refused to modify or withdraw; 



218 



Therefore, Be It Resolved that the Joint Committee reassert its finding that these 
rules violate the express provisions of the Facilities for the Handicapped 
Act, exceed the statutory or legal authority of the Capital Development 
Board, are unenforceable and could seriously weaken efforts to make 
reasonable and effective requirements for access by handicapped 
individuals to facilities; and 

Be It Further Resolved that a copy of this resolution be transmitted to the Capital 
Development Board and the Board be urged to reconsider its adoption of 
these rules in their present form; and 

Be It Further Resolved that a copy of this resolution be transmitted to the 
Attorney General to advise him of the Joint Committee's position that 
these rules are unenforceable and that he also urge the Board to 
reconsider adoption of rules; and 

Be It Further Resolved that a copy of this resolution be transmitted to the 
chairmen and minority spokesmen of the Appropriation Committees of the 
General Assembly which consider the requests for appropriations from the 
Board and that these committees be urged to consider these issues during 
Fiscal Year 1980 budget hearings. 



219 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 
RESOLUTIO N 

Whereas, the Joint Committee on Administrative Rules has found that the Office 
of Consumer Services rules and regulations proposed by the Governor's 
Office of Manpower and Human Development and published in the May 
26, 1978, and August k, 1978, issues of the Illin o is Register , exceed the 
authority of the office under Executive Order Number 3 (1976); and 

Whereas, the Joint Committee has objected to these rules on the specific basis that 
the Executive Order relates solely to the problems of unemployment and 
underemployment, and the need for coordination among agencies to find 
solutions to these problems and the order cannot be reasonably construed 
to authorize the office to conduct the program established in the 
proposed rules, which has little, if any, connection with those problems; 
and 

Whereas, the public policy issues involved in the establishment of the consumer 
services contemplated in these rules are of such a nature that they 
should receive full and open discussion by the public and their elected 
representatives; and 

Whereas, the establishment and conduct of a program of this nature and importance 
under solely executive authority constitutes an encroachment of the 
legislative power to make law; 

Therefore, be it resolved that the Joint Committee reassert its finding that these 
rules exceed any authority delegated by the legislature or executive to 
the office and that they are unenforceable; and 

Be It Further Resolved that a copy of this resolution be transmitted to the 
Governor's Office of Manpower and Human Development and that the 
office be urged to reconsider adoption of these rules and promptly 
withdraw them and if the office desires to continue such a program, to 
seek proper statutory authorization for the program; and 



220 



3e It Further Resolved that a copy of this resolution be transmitted to the 
chairmen and minority spokesmen of the Appropriation Committees of 
the General Assembly which consider the requests for appropriations 
from the Office and that these committees be urged to consider these 
issues during Fiscal Year 1980 budget hearings. 



221 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 
RESO LU TION 

Whereas, the Joint Committee on Administrative Rules has found that the 
amendments to rules 3.06 and 7.07 proposed by the Department of Public 
Aid as published in the May 19, 1978, issue of the Illinois Register , 
violate the express statutory provision of the Public Aid Code that 
dependency of a child is based on unemployment of the parent or parents , 
(II. Rev. Stat. 1977, ch. 23, par. ty-1.3), by making dependency based on 
the unemployment of the father ; and 

Whereas, this issue seriously affects the eligibility of Illinois citizens for federal 
aid under the Aid for Families with Dependent Children program; and 

Whereas, the Department has refused to modify or withdraw the rule in response to 
the objections of the Joint Committee and contends that the rule is 
necessary to comply with federal law and regulations concerning AFDC 
eligibility; and 

Whereas, the provision of the state law that dependency of a child be based on 
unemployment of the parent or parents is clearly stated and appears 
more equitable than the federal restriction of dependency to situations 
arising from the unemployment of the father ; and 

Whereas, the federal law and regulations appear to have insubstantial legal 
foundation and may well be found to be unconstitutionally 
discriminatory; 

Therefore, Be It Resolved that the Joint Committee reassert its finding that these 
rules of the Department of Public Aid are in clear violation of express 
state statutory language and are thus enforceable; and 

Be It Further Resolved, that a copy of this resolution be transmitted to the 
Department of Public Aid and that the Department be urged to 
reconsider the adoption of these rules and to amend the rules to conform 
to the express statutory provision; and 



222 



3e It Further Resolved, that a copy of this resolution be transmitted to the federal 
Social Security Administration and the agency be urged to reconsider and 
change this requirement. 



223 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 
RESOLUTION 

Whereas, the Joint Committee on Administrative Rules has found that the rules 
proposed by the Department of Public Health to implement the Choke- 
Saving Methods Act (Ill.Rev.Stat.l977,ch.56J4,par.601 et. seq.) as 
published in the February 10, 1978, issue of the Illinois Register , violate 
the express statutory mandate of the Act to distribute placards to food 
service establishments by proposing to simply make available such 
placards; and 

Whereas, the Department modified the rule in response to the Joint Committee 
objection, but still did not agree to actually distribute the placards to 
food service establishments as clearly required by the Act; and 

Whereas, when House Bill 13, which created the Choke-Saving Methods Act, was 
considered by the legislature in 1977, the Department agreed to actually 
distribute, rather than simply make available, these placards and funds 
were supposedly provided in the Department's Fiscal Year 1979 budget 
for this purpose; 

Therefore, Be It Resolved that the Joint Committee reassert its objection to these 
rules as modified, since they fail to provide for actual distribution of the 
placards to food service establishments as required by the Choke-Saving 
Methods Act; and 

Be It Further Resolved, that a copy of this resolution be transmitted to the 
Department of Public Health and the Department be urged to amend 
these rules to conform to the requirement for distribution in the Act; and 

Be It Further Resolved, that a copy of this resolution be transmitted to the 
chairmen and minority spokesmen of the Appropriation Committees of 
the General Assembly and that these committees be urged to review the 
apparant failure of the Department to actually distribute the placards as 
required under the Choke- Saving Methods Act during the Fiscal Year 
1980 budget hearings. 



224 



APPENDIX A 

ILLINOIS ADMINISTRATIVE 

PROCEDURE ACT 

(Illinois Revised Statutes 1977, Chapter 127, Paragraphs 1001 et. seq.) 



AN ACT In relation to administrative rules and 
procedures, and to amend an Act therein named 
Ln connection therewith. Approved and effective 
Sept. 22. 1975 by P.A. 79-1083. 

1001. Short Title.) § 1. This Act shall be 
known and may be cited as "The Illinois Adminis- 
trative Procedure Act". 

1002. Applicability.) § 2. This Act applies to 
every agency as defined herein. Beginning Janu- 
ary 1, 1978 in case of conflict between the provi- 
sions of this Act and the Act creating or conferring 
power on an agency, this Act shall control. How- 
ever if an agency has existing procedures on July 1, 
1977 specifically for contested cases or licensing 
those existing provisions control, except that this 
exception respecting contested cases and licensing 
does not apply if the Act creating or conferring 
power on the agency adopts by express reference 
the provision of this Act. Where the Act creating 
or conferring power on an agency establishes ad- 
ministrative procedures not covered by this Act. 
such procedures shall remain in effect. 

The provisions of this Act shall not apply to (1) 
preliminary hearings, investigations or practices 
where no final determinations affecting State fund- 
ing are made by the State Board of Education, (2) 
State Board of Education statements, guidelines or 
policies which do not have the force of law, and (3) 
legal opinions Issued under Section 2 — 3.7 of The 
School Code.i Neither shall the provisions of this 
Act appiy 10 hearings under Section 20 of the "Uni- 
form Disposition of Unclaimed Property Act". 2 
Amended by P. A. 80-1035. § 1, eff. Sept, 27, 1977. 

i Chapter 122. § 2—3.7. 

2 Chapter 141. § 101 et seq. 

1003. Definitions.) § 3. As used in this Act, 
unless the context otherwise requires, the terms 
specified in Sections 3.01 through 3.09 i have the 
meanings ascribed to them in those Sections. 

i Chapter 127, §§ 1003.01 to 1003.09. 

1003.01 Agency.] § 3.01. "Agency" means 
each State Board, commission, department, or offi- 
cer, other than the Governor, legislature, or the 
courts, authorized by law to make rules or to de- 
termine contested cases. 

1003.02. Contested case.] § 3.02. "Contest- 
ed case" means an adjudicatory proceeding, not In- 
cluding rate making, rule-making, quasi-legislative. 
Informational or sinfilar proceedings, in which the 



individual legal rights, duties or privileges of a 
party are required by law to be determined by an 
agency only after an opportunity for hearing. 
Amended by P.A. 80-1035, § 1, eff. Sept. 27, 1977. 

1003.03 Hearing examiner.] § 3.03. "Hear- 
ing examiner" means the presiding officer or offi- 
cers at the initial hearing before each agency and 
each continuation thereof. 

1003.04 License.] § 3.04. "License" includes 
the whole or part of any agency permit, certificate, 
approval, registration, charter, or similar form of 
permission required by law, but it does not include 
a license required solely for revenue purposes. 

1003.05 Licensing.] § 3.05. "Licensing" in- 
cludes the agency process respecting the grant, de- 
nial, renewal, revocation, suspension, annulment, 
withdrawal or amendment of a license. 

1003.06 Party.] § 3.06. "Party" means each 
person or agency named or admitted as a party, or 
properly seeking and entitled as of right to be ad- 
mitted as a party. 

1003.07 Person.] § 3.07. "Person" means 
any individual, partnership, corporation, associa- 
tion, governmental subdivision, or public or private 
organization of any character other than an agen- 
cy. 

1003.08 Rate making or rate making activities.] 
§ 3.08. "Rate-making" or "rate-making activities" 
means the establishment or review of or other exer- 
cise of control over the rates or charges for the 
products or services of any person, firm or corpo- 
ration operating or transacting any business ln this 
State. 

1003.09. Rule.] § 3.09. "Rule" means each 
agency statement of general applicability that Im- 
plements, applies, interprets, or prescribes law or 
policy, but does not Include (a) statements con- 
cerning only the internal management of an agency 
and not affecting private rights or procedures avail- 
able to persons or entities outside the agency, (b) 
informal advisory rulings issued pursuant to Sec- 
tion 9,i (c) intra-agency memoranda or (d) the 
prescription of standardized forms. 
Amended by P.A, 80-1035, § 1, eff. Sept. 27. 1977. 
i Chapter 127. J 1009. 



1004. Adoption of Rules; 
Availability of Rules.) § 4. 



Public Information; 
(a) In addition to 



22^ 



other rule-making requirements imposed by law, 
each agency shall: 

1. adopt rules of practice setting forth the 
nature and requirements of all formal hearings; 

2. make available for public inspection all rules 
adopted by the agency in the discharge of its func- 
tions. 

(b) Each agency shall make available for public 
inspection all final orders, decisions and opinions, 
except those deemed confidential by state or federal 
statute and any trade secrets. 

(c) No agency rule is valid or effective against 
any person or party, nor may it be invoked by the 
agency for any purpose, until it has been made 
available for public inspection and filed with the 
Secretary of State as required by this Act. This 
provision Is not applicable in favor of any person 
or party who has actual knowledge thereof. 
Amended by P.A. 80-1035, § 1, eff. Sept. 27. 1977. 

1004.01. Required rules.] § 4.01. (a) Each 
agency shall maintain as a rule the following: 

1. a current description of the agency's organ- 
ization with necessary charts depicting same; 

2. the current procedures on how the public 
can obtain information or make submissions or re- 
quests on subjects, programs, and activities of the 
agency; 

3. tables of contents, indices, reference tables, 
and other materials to aid users in finding and 
using the agency's collection of rules currently in 
force; and 

4. a current description of the agency's rule 
making procedures with necessary flow charts de- 
picting same. 

(b) The rules required to be filed by this Sec- 
tion may be adopted, amended, or repealed and filed 
as provided in thiB Section in lieu of any other pro- 
visions or requirements of this Act. 

The rules required by this Section may be adopt- 
ed, amended, or repealed by filing a certified copy 
with the Secretary of State as provided by para- 
graphs (a) and (b) of Section 6,i and may become 
effective immediately. 
Added by P.A. 80-1035. § 1, eff. Sept. 27, 1977. 

i Chapter 127, 5 1006. 

1005. Procedure for Rule-Making.) § 5. (a) 
Prior to the adoption, amendment or repeal of any 
rule, each agency shall: 

1. give at least 4 5 days* notice of its intended 
action. This notice period shall commence on the 
first day the notice appears in the Illinois Register. 
The notice shall include a text of the proposed rule, 
or the old and new materials of a proposed amend- 
ment, or the text of the provision to be repealed; 
the specific statutory citation upon which the pro- 
posed rule, the proposed amendment to a rule or 
the proposed repeal of a rule is based and is au- 
thorized; a description of the subjects and issues 
involved; and the time, place and manner in which 
interested persons may present their views and com- 
ments concerning the intended action. In addition, 
the Secretary of State shall publish and maintain 
the Illinois Register and set forth the manner in 
which agencies shall submit the notices required by 
this Act to him for publication in the Illinois Reg- 
ister. The Illinois Register shall be published at 
least once each week on the same day unless such 
day is an official State holiday in which case the 
Illinois Register shall be published on the next fol- 
lowing business day and sent to subscribers who 
subscribe for the publication with the Secretary of 



State. The Secretary of State may charge a sub- 
scription price to subscribers that covers mailing 
and publication costs; 

2. afford all interested persons who submit a 
request within 14 days after notice of the proposed 
change Is published in the Illinois Register reason- 
able opportunity to submit data, views, arguments 
or comments, which may, in the discretion of the 
agency, be submitted either orally or in writing or 
both. The notice published in the Illinois Register 
of the Secretary of State shall indicate the manner 
selected by the agency for such submissions. The 
agency shall consider fully all submissions respect- 
ing the proposed rule. 

(b) If any agency finds that an emergency, rea- 
sonably constituting a threat to the public interest, 
safety or welfare, requires adoption of a rule upon 
fewer than 4 5 days' notice and states in writing its 
reasons for that finding, it may proceed without 
prior notice or hearing or upon any abbreviated 
notice and hearing that it finds practicable, to adopt 
an emergency rule. The rule may be effective for 
a period of not longer than 150 days but the 
agency's authority to adopt an identical rule under 
subsections (a)(1) and (a)(2) of this Section is 
not precluded. 

(c) No action by any agency to adopt, amend or 
repeal a rule after this Act has become applicable 
to the agency shall be valid unless taken In compli- 
ance with this Section. A proceeding to contest 
any rule on the ground of non-compliance with the 
procedural requirements of this Section must be 
commenced within 2 years from the effective date of 
the rule. 

(d) The notice and publication requirements of 
this Section do not apply to a matter relating solely 
to agency management, personnel practices, or to 
public property, loans or contracts. 

(e) If any agency is required by federal law or 
federal rules and regulations or by an order of court 
to adopt a rule under conditions which preclude the 
agency's compliance with the notice or hearing 
requirement of this Act, the agency may proceed 
to adopt such a rule upon filing with the Secretary 
of State. 

Amended by P.A. 80-1035, § 1. eff. Sept. 27, 1977. 

1006. Filing and Taking Effect of Rules.) 8 6. 
(a) Each agency shall file in the office of the Sec- 
retary of State and in the agency's principal office 
a certified copy of each rule and modification or 
repeal of any rule adopted by it, including all 
rules existing on the date this Act becomes ap- 
plicable to the agency other than rules already 
so filed. The Secretary of State and the agency 
shall each keep a permanent register of the rules 
open to public inspection. The Secretary of State 
may refuse to accept for filing such certified copies 
as are not in substantial compliance with reason- 
able rules prescribed by him concerning the form 
of documents to be filed with him. 

(b) Concurrent with the filing of any material 
pursuant to this Act, the filing agency shall sub- 
mit to the Secretary of State for publication In 
the next available issue of the Illinois Register a 
notice of rule making which presents: 

1. if the material is a new rule, the full text 
of the new rule; or 

2. if the material is an amendment to a rule or 
rules, the full text of the rule or rules as amended; 
or 

3. if the material is a repealer, 6uch notice 
of repeal shall be published. 



226 



(c) Each rule hereafter adopted is effective 
10 days after filing, except that: 

1. if required by statute or specified In the 
rule, a later date is the effective date; 

2. subject to applicable constitutional or stat- 
utory provisions, an emergency rule becomes ef- 
fective immediately upon filing with the Secretary 
of State and in the agency'3 principal office, or a 
stated date less than 10 days thereafter, if the 
agency finds that this effective date is necessary 
because of emergency. The agency's finding and 
a brief statement of the reasons therefor shall be 
filed with the rule. The agency shall take reason- 
able and appropriate measures to make emergency 
rules known to the persons who may be affected 
by them. 

Amended by P.A. 80-1035, § 1, eff. Sept. 27, 1977. 

1007. Publication of Rules:) § 7. (a) The 
agency shall compile, index and publish all its rules 
adopted under the provisions of this Act, and all 
rules certified under the provisions of Section 
7.01(b) of this Act.i Compilations shall be sup- 
plemented or revised and certified as current to 
the Secretary of State at least once every 2 years. 
(b) Compilations, supplements and revisions re- 
quired by this Section shall be filed in the office 
of the Secretary of State in Springfield, Illinois 
and In the Cook County Law Library In Chicago, 
Illinois and with the Joint Committee on Admin- 
istrative Rules. The agency shall make compila- 
tions, supplements and revisions available upon 
request to agencies and officials of this State with- 
out charge and to other persons at prices estab- 
lished by the agency to cover mailing and publica- 
tion costs. 

Amended by P.A. 80-1035, § 1, eff. Sept. 27. 1977. 
1 Chapter 127, § 1007.01. 

1007.01. Certification of rules filed with the 
Secretary of State.] § 7.01. (a) Beginning Jan- 
uary 1, 1978 whenever a rule, or modification or 
repeal of any rule, is filed with the Secretary of 
State, the Secretary of State within 3 working days 
after such filing shall send a certified copy of such 
rule, modification or repeal to the Joint Committee 
on Administrative Rules established in Section 
7.02.1 

(b) Any rule on file with the Secretary of State 
on January 1, 1978 shall be void 60 days after that 
date unless within such 60 day period the issuing 
agency certifies to the Secretary of State that the 
rule is currently In effect. 

Within 45 days after the receipt of any certifi- 
cation pursuant to this sub-section (b), the Secre- 
tary of State shall send to the Joint Committee 
on Administrative Rules established in Section 
7.02 a copy of each agency's certification so re- 
ceived along with a copy of the rules covered by 
the certification. 

Added by P.A. 80-1035, § 1, eff. Sept. 27, 1977.. 
1 Chapter 127, § 1007.02. 

1007.02 Joint Committee on Administrative 
Rules — Membership — Terms — Vacancies — 
Compensation — Meetings — Executive director — 
Office.] § 7.02 (a) The Joint Committee on Ad- 
ministrative Rules, is hereby created. The Joint 
Committee shall be composed of 16 members, 4 
members appointed by the President of the Senate 
and 4 by the Senate Minority Leader, and 4 mem- 
bers appointed by the Speaker of the House of 

3 Ml Rev Stat. 77—40 



Representatives and 4 by the House Minority Lead- 
er. 

Members of the Joint Committee ahall be ap- 
pointed during the Month of July of each odd num- 
bered year for 2 year terms beginning August 1, 
and until their successors are appointed and qual- 
ified. In the event of a death of a member or if 
a member ceases to be a member of the General 
Assembly a vacancy shall exist. Vacancies shall 
be filled for the time remaining of the term In the 
same manner as the original appointments. All 
appointments shall be in writing and filed with 
the Secretary of State as a public record. 

(b) The Joint Committee shall organize during 
the month of September each odd numbered year 
by electing a Chairman and such other officers a3 
It deems necessary. The chairmanship of the 
Joint Committee shall be for a 2 year term and may 
not be filled In 2 successive terms by persons of 
the same political party. Members of the Joint 
Committee shall serve without compensation, but 
shall be reimbursed for expenses. The Joint Com- 
mittee shall hold monthly meetings and may meet 
oftener upon the call of the Chairman or 4 mem- 
bers. A quorum of the Joint Committee consists 
of a majority of the members appointed from each 
house of the General Assembly. 

(c) When feasible the agenda of each meeting 
of the Joint Committee shall be submitted to the 
Secretary of State to be published at least 5 days 
prior to the meeting In the Illinois Register. The 
provisions of this subsection shall not prohibit the 
Joint Committee from acting upon an item that 
was not contained in the published agenda. 

(d) The Joint Committee shall appoint an Ex- 
ecutive Director who shall be the staff director. 
The Executive Director shall receive a salary to be 
fixed by the Joint Committee. 

The Executive Director shall be authorized to 
employ and fix the compensation of such necessary 
professional, technical and secretarial staff and 
prescribe the duties of such staff. 

(e) The initial appointments required by this 
Section shall be made no later than November 1, 
1977. In addition, the Joint Committee created 
by this Section shall initially organize by electing 
its officers and appointing the Executive Director 
no later thaa November 30, 1977, 

(f) A permanent office of the Joint Committee 
shall be In the State Capitol Complex wherein the 
Space Needs Commission shall provide suitable 
offices. 

Added by P.A. 80-1035, § 1, eff. Sept. 27, 1977. 

1007.03. Administration, of oaths or affirma- 
tions — -Affidavits or depositions — Subpoena..] § 7.- 
03.. (a) The Executive Director of the Joint Com- 
mittee or any person designated by him may ad- 
minister oaths or affirmations, take affidavits or 
depositions of any person. 

(b) The Executive Director, upon approval of a 
majority vote of the Joint Committee, or the pre- 
siding officers may subpoena and compel the at- 
tendance before the Joint Committee and examine 
under oath any person, or the production for the 
Joint Committee of any records, books, papers, 
contracts or other documents. 

If any person fails to obey a subpoena issued 
under this Section, the Joint Committee may apply 
to any circuit court to secure compliance with the 
subpoena. The failure to comply with the order 



227 



of the court issued in response thereto shall be 

punished as a contempt. 

Added by P.A. 80-1035, § 1, eff. Sept. 27, 1977. 

1007.04. Powers of joint committee.] § 7.04. 
The Joint Committee shall have the following pow- 
ers under this Act: 

1. The Joint Committee shall have advisory 
powers only relating to its function, which shall be 
the promotion of adequate and proper rules by 
agencies and an understanding on the part of the 
public respecting such rules. 

2. The Joint Committee may undertake studies 
and Investigations concerning rule-making and 
agency rules. 

3. The Joint Committee shall monitor and in- 
vestigate compliance of agencies with the provi- 
sions of this Act, make periodic investigations of 
the rule-making activities of all agencies, and eval- 
uate and report on all rules in terms of their pro- 
priety, legal adequacy, relation to statutory autho- 
rization, economic impact on those affected by the 
rule and public policy. 

4. Hearings and investigations conducted by 
the Joint Committee under this Act may be held at 
such times and places within the State as such 
Committee deems necessary; 

5. The Joint Committee shall have the authori- 
ty to request from any agency an analysis of the: 

a. effect of a new rule, amendment or repeal- 
er ; •'>. 

b. agency's evaluation of the submissions 
presented to the agency pursuant to Section 5 of 
this Act; i 

c. a description of any modifications from the 
initially published proposal made in the finally ac- 
cepted version of the intended rule, amendment or 
repealer; and 

d. the agency's justification and rationale for 
the Intended rule, amendment or repealer. 

Added by P.A. 80-1035, § 1, eff. Sept. 27. 1977. 
i Chapter 127, 5 1005. 

1007.05. Responsibilities of joint committee.] 
§ 7.05. The Joint Committee shall have the 
following responsibilities under this Act: 

1. The Joint Committee shall conduct a sys- 
tematic and continuing study of the rules and rule 
making process of all state . agencies, including 
those agencies not covered In Section 3.01 of this 
Act.i for the purpose of improving the rule making 
process, reducing the number and bulk of rules, re- 
moving redundancies and unnecessary repetitions 
and correcting grammatical, typographical and like 
errors not affecting the construction or meaning of 
the rules, and it shall make recommendations to 
the appropriate affected agency. 

2. The Joint Committee shall review the statu- 
tory authority on which any administrative rule is 
based. 

3. The Joint Committee shall maintain a re- 
view program, to study the impact of legislative 
changes, court rulings and administrative action on 
agency rules and rule making. 

Added by P.A. 80-1035, § 1, eff. Sept. 27, 1977. 
i Chapter 127. 5 1003.01. 

1007.06. Examination of proposed rule, amend- 
ment or repeal of rule by the joint committee — De- 
terminations.] § 7.06. (a) The Joint Commit- 
tee may examine any proposed rule, amendment to 
a rule, and repeal of a rule for the purpose of de- 
termining whether the proposed rule, amendment 



to a rule, or repeal of a rule Is within the statuto- 
ry authority upon which it is based, whether the 
rule, amendment to a rule or repeal of a rule is in 
proper form and whether the notice is given prior 
to its adoption, amendment, or repeal was suffi- 
cient to give adequate notice of the purpose and 
effect of the rule, amendment or repeal. 

(b) If the Joint Committee objects to a pro- 
posed rule, amendment to a rule, or repeal of a. 
rule, it shall certify the fact to the issuing agency 
and include with the certification a statement of 
its specific objections. 

(c) If within 4 5 days after a proposed rule, 
amendment to a rule or repeal of a rule has been 
published in the Illinois Register, the Joint Com- 
mittee certifies its objections to the issuing agency 
then that agency shall within 90 days of receipt of 
the statement of objection: 

1. modify the proposed rule, amendment or re- 
pealer to meet the Joint Committee's objections; 

2. withdraw the proposed rule, amendment, or 
repealer in its entirety, or; 

3. refuse to modify or withdraw the proposed 
rule, amendment or repealer. 

(d) If an agency elects to modify a proposed 
rule, amendment or repealer to meet the Joint 
Committee's objections, it shall make only such 
modifications as are necessary to meet the objec- 
tions and shall resubmit the rule, amendment or 
repealer to the Joint Committee. The agency shall 
submit a notice of its election to modify a pro- 
posed rule, amendment or repealer to meet the 
Joint Committee's objections to the Secretary of 
State which shall be published in the first availa- 
ble issue of the Illinois Register, but shall not be 
required to conduct a public hearing. 

(e) If an agency elects to withdraw a proposed 
rule, amendment or repealer as a result of the 
Joint Committee's objections, it shall notify the 
Joint Committee, in writing, of its election and 
shall submit a notice of the withdrawal to the Sec- 
retary of State which shall be published in the 
next available issue of the Illinois Register. 

(f) Failure of an agency to respond to the Joint 
Committee's objections to a proposed rule, amend- 
ment or repealer, within the time prescribed In 
subsection (c) shall constitute withdrawal of the 
rule in its entirety. The Joint Committee shall 
submit a notice to that effect to the Secretary of 
State which shall be published in the next availa- 
ble issue of the Illinois Register and the Secretary 
of State shall refuse to accept for filing a certified 
copy of such proposed rule, amendment or repealer 
under the provisions of Section 6.1 

(g) If an agency refuses to modify or withdraw 
the proposed rule, amendment or repealer so as to 
remedy an objection stated by the Joint Committee 
and the Joint Committee decides to recommend 
legislative action, then the Joint Committee shall 
have drafted and have introduced into either house 
of the General Assembly appropriate legislation to 
implement the recommendations of the Joint Com- 
mittee. 

Added by P.A. 80-1035. § 1, eff. Sept. 27, 1977. 
i Chapter 127, 5 1006. 

1007.07 Examination of rule by the joint com- 
mittee — Determinations.] § 7.07 (a) The 
Joint Committee may examine any rule for the 
purpose of determining whether the rule is within 
the statutory authority upon which it is based, and 
whether the rule is in proper form. 



228 



(b) If the Joint Committee objects to a rule. It 
shall, within 5 days of the objection, certify the 
fact to the adopting agency and include within the 
certification a statement of its specific objections. 

(c) Within 90 days of receipt of the certifica- 
tion, the agency shall: 

1. Notify the Joint Committee that it has elect- 
ed to amend the rule to meet the Joint Commit- 
tee's objection; 

2. Notify the Joint Committee that it has elect- 
ed to repeal the rule, or; 

3. Notify the Joint Committee that it refuses 
to amend or repeal the rule. 

(d) If the agency elects to amend a rule to 
meet the Joint Committee's objections, it shall no- 
tify the Joint Committee in writing and shall initi- 
ate rule-making procedures for that purpose by 
giving notice as required by Section 5 of this Act.i 
The Joint Committee shall give priority to rules so 
amended when setting its agenda. 

(e) If the agency elects to repeal a rule as a re- 
sult of the Joint Committee objections, it shall no- 
tify the Joint Committee, in writing, of its election 
and shall initiate rule-making procedures for that 
purpose by giving notice as required by Section 5 
of this Act. 

(f) If the agency elects to amend or repeal a 
rule as a result of the Joint Committee objections, 
it shall complete the process within 180 days after 
giving notice in the Illinois Register. 

(g) Failure of the agency to respond to the 
Joint Committee's objections to a rule within the 
time prescribed in subsection (c) shall constitute a 
refusal to amend or repeal the rule. 

(h) If an agency refuses to amend or repeal a 
rule so as to remedy an objection stated by the 
Joint Committee and the Joint Committee decides 
to recommend legislative action, then the Joint 
Committee shall have drafted and have introduced 
Into either house of the General Assembly appro- 
priate legislation to implement the recommenda- 
tions of the Joint Committee. 

Added by P.A. 80-1035, § 1. eff. Sept. 27, 1977. 
i Chapter 127. § 1005. 

1007.08. Periodic evaluation of rules by the 
joint committee — Categories.] § 7.08. (a) The 
Joint Committee shall evaluate the rules of each 
agency at least once every 5 years. The Joint 
Committee by rule shall develop a schedule for 
this periodic evaluation. In developing this sched- 
ule the Joint Committee shall group rules by speci- 
fied areas to assure the evaluation of similar rules 
at the same time. Such schedule shall include at 
least the following categories: 

1. human resources; 

2. law enforcement; 

3. energy; 

4. environment; 

5. natural resources; 

6. transportation; 

7. public utilities; 

8. . consumer protection; 

9. licensing laws; 

10. regulation of occupations; 

11. labor laws; 

12. business regulation; 

13. financial Institutions; and 

14. government purchasing. 



(b) Whenever evaluating any rules as required 
by this Section the Joint Committee's review shall 
Include an examination of: 

1. organizational, structural and procedural re- 
forms which effect rules or rule making; 

2. merger, modification, establishment or aboli- 
tion of regulations; 

3. eliminating or phasing out outdated, over- 
lapping or conflicting regulatory jurisdictions or 
requirements of general applicability; and 

4. increasing economic impact. 

Added by P.A. 80-1035, § 1, eff. Sept. 27. 1977. 

1007.09. Administration of ActJ § 7.09. 
The Joint Committee shall have the authority to 
adopt rules to administer the provisions of this Act 
relating to the Joint Committee's responsibilities, 
powers and duties. 

Added by P.A. 80-1035. § 1. eff. Sept. 27. 1977. 

1007.10. Report of findings, conclusions and 
recommendations by the Joint Committee.] § 7.- 
10. The Joint Committee shall report its findings, 
conclusions and recommendations including sug- 
gested legislation to the General Assembly by Feb- 
ruary 1 of each year. 

Added by P.A. 80-1035. § 1. eff. Sept. 27, 1977. 

1008. Petition for Adoption of Rules.) § 8. 
Any Interested person may petition an agency re- 
questing the promulgation, amendment or repeal 
of a rule. Each agency shall prescribe by rule the 
form for petitions and the procedure for their sub- 
mission, consideration and disposition. If, within 
30 days after submission of a petition, the agency 
has not initiated rule-making proceedings in ac- 
cordance with Section 5 of this Act.i the petition 
shall be deemed to have been denied. 

l Chapter 127, § 1005. 

1009. Declaratory Rulings by Agencies.) § 9. 
Each agency may in its discretion provide by rule 
for the filing and prompt disposition of petitions 
for declaratory rulings as to the applicability of 
any statutory provision or of any rule or order of 
the agency. Declaratory rulings shall not be ap- 
pealable. 

1010. Contested Cases; Notice; Hearing.) § 
10. (a) In a contested case, all parties shall 
be afforded an opportunity for hearing after rea- 
sonable notice. Such notice shall be served per- 
sonally or by certified or registered mail upon 
such parties or their agents appointed to receive 
service of process and shall include: 

1. a statement of the time, place and nature of 
the hearing; 

2. a statement of the legal authority and juris- 
diction under which the hearing is to be held; 

3. a reference to the particular Sections of the 
statutes and rules Involved; and 

4. except where a more detailed statement Is 
otherwise provided for by law, a short and plain 
statement of the matters asserted. 

(b). Opportunity shall be afforded all parties 
to be represented by legal counsel, and to respond 
and present evidence and argument. 

(c). Unless precluded by law, disposition may 
be made of any contested case by stipulation, 
agreed settlement, consent order or default. 



229 



1011. Record in Contested Cases.) § 11. (a) 

The record in a contested case shall include: 

1. all pleadings (including all notices and re- 
sponses thereto), motions, and rulings; 

2. evidence received; 

3. a statement of matters officially noticed; 

4. offers of proof, objections and ruliDgs there- 
on; 

5. proposed findings and exceptions; 

6. any decision, opinion or report by the hear- 
ing examiner; 

7. all staff memoranda or data submitted to 
the hearing examiner or members of the agency in 
connection with their consideration of the case; 
and 

8. any communication prohibited by Section 14 
of this Act,i but such communications shall not 
form the basis for any finding of fact. 

(b). Oral proceedings or any part thereof shall 
be recorded Btenographically or by such other 
means as to adequately insure the preservation of 
such testimony or oral proceedings and shall be 
transcribed on request of any party. 

(c). Findings of fact shall be based exclusively 
on the evidence and on matters officially noticed, 
i Chapter 127. § 1014. 

1012. Rides of Evidence; Official Notice.) § 
12. In contested cases: 

(a). Irrelevant, immaterial or unduly repeti- 
tious evidence shall be excluded. The rules of evi- 
dence and privilege as applied in civil cases in the 
Circuit Courts of this State shall be followed. 
However, evidence not admissible under such rules 
of evidence may be admitted (except where pre- 
cluded by statute) if it is of a type commonly re- 
lied upon by reasonably prudent men in the con- 
duct of their affairs. Objections to evidentiary of- 
fers may be made and shall be noted in the record. 
Subject to these requirements, when a hearing will 
be expedited and the interests of the parties will 
not be prejudiced, any part of the evidence may be 
received in written form. 

(b). Subject to the evidentiary requirements of 
subsection (a) of this Section, a party may conduct 
cross-examination required for a full and fair dis- 
closure of the facts. 

(c). Notice may be taken of matters of which 
the Circuit Courts of this State may take judicial 
notice. In addition, notice may be taken of gener- 
ally recognized technical or scientific facts within 
the agency's specialized knowledge. Parties shall 
be notified either before or during the hearing, or 
by reference in preliminary reports or otherwise, 
of the material noticed, including any staff memo- 
randa or data, and they shall be afforded an op- 
portunity to contest the material so noticed. The 
agency's experience, technical competence and spe- 
cialized knowledge may be utilized in the evalua- 
tion of the evidence. 

1013. Proposal for Decision.) § 13. Except 
where otherwise expressly provided by law, when 
in a contested case a majority of the officials of 
the agency who are to render the final decision 
has not heard the case or read the record, the de- 
cision, if adverse to a party to the proceeding oth- 
er than the agency, shall not be made until a pro- 
posal for decision is served upon the parties, and 
an opportunity is afforded to each party adversely 
affected to file exceptions and to present a brief 
and, if the agency so permits, oral argument, to 
the agency officials who are to render the decision. 



The proposal for decision shall contain a statement 
of the reasons therefor and of each Issue of fact or 
law necessary to the proposed decision, prepared 
by the persons who conducted the hearing or one 
who has read the record. 

1014. Decisions and Orders.) § 14. A final 
decision or order adverse to a party (other than 
the agency) in a contested case shall be in writing 
or stated in the record. A final decision shall In- 
clude findings of fact and conclusions of law, sepa- 
rately stated. Findings of fact, if set forth in stat- 
utory language, shall be accompanied by a concise 
and explicit statement of the underlying facts sup- 
porting the findings. If, in accordance with agen- 
cy rules, a party submitted proposed findings of 
fact, the decision shall include a ruling upon each 
proposed finding. Parties or their agents appoint- 
ed to receive service of process shall be notified ei- 
ther personally or by registered or certified mall of 
any decision or order. Upon request a copy of the 
decision or order shall be delivered or mailed 
forthwith to each party and to his attorney of rec- 
ord. 

A decision by any agency in a contested case un- 
der this Act shall be void unless the proceedings 
are conducted in compliance with the provisions of 
this Act relating to contested cases except to the 
extent such provisions are waived pursuant to Sec- 
tion 18 of this Act i and except to the extent the 
agency has adopted its own rules for contested cas- 
es as authorized in Section 2 of this Act.J 
Amended by P.A. 80-1035. § 1. eff. Sept. 27. 1977. 

i Chapter 127. 5 1018. 

2 Chapter 127, J 1002. 

1015. Ex Parte Consultations.) § 15. Ex- 
cept in the disposition of matters which they are 
authorized by law to entertain or dispose of on an 
ex parte basis, neither agency members, employees 
nor hearing examiners shall, after notice of hear- 
ing In a contested case or licensing to which the 
procedures of a contested case apply under this 
Act, communicate, directly or indirectly, in connec- 
tion with any issue of fact, with any person or par- 
ty, or in connection with any other issue with any 
party or his representative, except upon notice and 
opportunity for all parties ' to participate. How- 
ever, an agency member may communicate with 
other members of the agency, and an agency mem- 
ber or hearing examiner may have the aid and ad- 
vice of one or more personal assistants. 

Amended by P.A. 80-1035, § 1, eff. Sept. 27. 1977. 

1016. Licenses.) § 16. (a) When any li- 
censing Is required by law to be preceded by notice 
and opportunity for hearing, the provisions of this 
Act concerning contested cases shall apply. 

(b) When a licensee has made timely and suf- 
ficient application for the renewal of a license or a 
new license with reference to any activity of a con- 
tinuing nature, the existing license shall continue 
in full force and effect until the final agency deci- 
sion on the application has been made unless a lat- 
er date Is fixed by order of a reviewing court. 

(c) No agency shall revoke, suspend, annul, 
withdraw, amend materially, or refuse to renew 
any valid license without first giving written no- 
tice to the licensee of the facts (.r cordu": upou 
which the agency will rely to support its proposed 
action, and an opportunity for hearing in accord- 
ance with the provisions of this Act concerning 
contested cases. At any such hearing, the licensee 



230 



shall have the right to show compliance with all 
lawful requirements for the retention, or continua- 
tion or renewal of the license. If, however, the 
agency finds that the public interest, safety or wel- 
fare Imperatively requires emergency action, and if 
the agency incorporates a finding to that effect in 
Its order, summary suspension of a license may be 
ordered pending proceedings for revocation or oth- 
er action which proceedings shall be promptly In- 
stituted and determined. 

Any application for renewal of a license which 
contains required and relevant Information, data, 
material or circumstances which were not con- 
tained in an application for the existing license, 
shall be subject to the provisions of Section 16(a) 
of this Act.i 
Amended by P.A. 80-1035, § 1, eff. Sept. 27, 1977. 

i Chapter 127. § 1016. 

1017. Rate-Making.) § 17. Every agency 
which is empowered by law to engage in rate-mak- 
ing activities shall establish by rule, not Inconsist- 
ent with the provisions of law establishing such 
rate-making jurisdiction, the practice and proce- 
dure to be followed in rate-making activities be- 
fore such agency. 

1018. Waiver.) § 18. Compliance with any 
or all of the provisions of this Act concerning con- 
tested cases may be waived by written stipulation 
of all parties. - 

1010. § 19. Repealed by P.A. 80-1035, § 2, 
eff. Jan. 1, 1978. 

1020. Severability.) § 20. If any provision of 
this Act or the application thereof to any person or 
circumstance is held invalid, the invalidity shall 
not affect other provisions or applications of the 
Act which can be given effect without the invalid 
provision or application, and for this purpose the 
provisions of this Act are severable. 



1021. Effective date.) § 21. 
effect upon Us becoming a law. 



This Act takes 



23 1 



APPENDIX B 

OPERATIONAL RULES FOR 

REVIEW OF PROPOSED RULES 

(Published in the October 13, 1978, issue of the Illinois Register) 



NOTICE OF PROPOSED RULEMAKING 



AGENCY: Joint Committee on Administrative Rules 

TITLE OF RULE: Article I: Operational Rules 

Rule One: General Policies 

Rule Two: Review of Proposed Rulemaking 

STATUTORY AUTHORITY: Illinois Administrative Procedure Act, Sec. 7.09 
(Ill.Rev.Stat.l977,ch.l27,par.l007.09) 

SUMMARY AND PURPOSE: These proposed rules are intended to state the 
Joint Committee's policies concerning interaction with other state agencies 
and review of proposed rulemaking. Among the features of the proposed 
rules are provisions concerning (1) submission by the proposing agency of 
additional explanatory material concerning each proposed rulemaking to the 
Joint Committee as authorized by Section 7.04(5) of the Administrative 
Procedure Act, (2) criteria to be considered by the Joint Committee in 
considering possible objection to a proposed rulemaking, (3) procedure to be 
followed by the Joint Committee in objecting to a proposed rulemaking, and 
(4) specific manner and form in which the proposing agency should respond 
to an objection by the Joint Committee to a proposed rulemaking. These 
rules are being proposed to insure availability and input from the interested 
public and affected state agencies. 

WILL THIS PROPOSED RULEMAKING REPLACE AN EMERGENCY RULE 
CURRENTLY IN EFFECT? No. 

SUBMISSION OF COMMENTS: Comments on this proposed rulemaking may be 
submitted in writing for a period of 45 days following publication of this 
notice. Comments should be submitted to: 

Gary Schechter, Rules Review Manager 

Joint Committee on Administrative Rules 

520 South Second Street, Suite 100 

Springfield, Illinois 62706 

A public hearing will also be held on these proposed rules at which state 
agency personnel or the public may present their views concerning these 
rules. The hearing will be held December 11, 1978, at 1:30 PM, in Room D- 
1, Stratton Office Building, Springfield, Illinois. Agencies or individuals 
wishing to present testimony should contact Gary Schechter, Rules Review 
Manager, Joint Committee on Administrative Rules, at (217) 785-2254. 
Agencies and individuals contacting the Joint Committee in advance will be 
given priority in presenting testimony and other agencies and individuals will 
also be given an opportunity to present testimony if time permits. 



THE FULL TEXT OF THE PROPOSED RULES IS AS FOLLOWS: 



233 



TEXT OF PROPOSED RULE 



ARTICLE I: OPERATIONAL RULES 



RULE ONE: GENERAL POLICIES 



Section 1.1.01: In carrying out its function of promoting adequate and proper 
rules by agencies and understanding on the part of the public respecting 
such rules and its responsibilities to review proposed rulemaking by agencies, 
the Joint Committee will seek to cooperate with agencies as extensively 
as possible and conduct its hearings in a manner promoting full and open 
discussion of proposed rulemaking. This policy is intended to implement 
the spirit as well as the letter of the Illinois Administrative Procedure Act. 

Section 1.1.02: The Joint Committee and its staff will consult with agencies 
regarding difficulties in implementing the rulemaking procedures of the 
Illinois Administrative Procedure Act as necessary. Such consultation will 
be for the purpose of advising agencies regarding form, compliance with 
statutory authority or other matters considered by the Joint Committee 
in its authority to review rules and rulemaking. 

Section 1.1.03: Since under the Illinois Administrative Procedure Act, the Secre- 
tary of State along with the Joint Committee has substantial responsibility 
of the Rlinois Register, the Joint Committee will cooperate fully with the 
Secretary of State. The Joint Committee will strive to establish effective 
working relationships with the Secretary of State to ensure efficient admini- 
stration of rulemaking procedures. The procedures followed by the Joint 
Committee will be coordinated with the "Rules on Rules" adopted by the 
Secretary of State. 



234 



TEXT OF PROPOSED RULE 



RULE TWO: REVIEW OF PROPOSED RULEMAKING 



Section 1.2.01: On the same working day of the submission of any notice 

of proposed rulemaking by an agency to the Secretary of State for publica- 
tion in the Illinois Register, the proposing agency shall also submit to the 
Joint Committee an analysis of the anticipated effects of the proposed rule- 
making and a justification and rationale for the proposed rulemaking, iuch 
information should be concise but complete, including sufficient detail to 
fully explain the effect and rationale of the rulemaking. The agency should 
include consideration of each of the following specific factors: 

1. An analysis of the anticipated effects of the proposed rulemaking: 

a. Basic impact on affected individuals or groups. 

b. Anticipated changes in the agency's operations or structure resulting 
from implementation of the rulemaking. 

c. Economic impact on the agency's budget. 

d. Economic impact on affected individuals or groups, including 
businesses. 

e. Any other anticipated effects. 

2. A justification and rationale for the proposed rulemaking: 

a. Any changes in statutory language requiring the proposed rule- 
making. 

b. Any changes in agency policy, procedures, or structure requiring 
the proposed rulemaking. 

c. Relationship to other rulemaking activities of the agency including 
anticipated rulemaking activities. 

d. Relationship to any relevant federal rules, regulations, or funding 
requirements. 

e. Any other relevant considerations. 

Section 1.2.02: The submission of the information required under Section 1.2.01 
to the Joint Committee should (1) be clearly identified as "Agency Analysis 
of Proposed Rulemaking," (2) indicate the agency name and the specific 



235 



TEXT OF PROPOSED RULE 

agency personnel who will respond to Joint Committee questions regarding 
the proposed rulemaking, (3) indicate the title and subject of the proposed 
rulemaking, (4) be dated and (5) be signed by an appropriate agency official. 
The information should be submitted to the Executive Director, Joint Com- 
mittee on Administrative Rules, 520 South Second Street, Suite 100, Spring- 
field, Illinois 62706. 

Section 1.2.03: The Joint Committee staff will review each proposed rulemaking, 
including the notice of proposed rulemaking, the text of the rulemaking 
and any information provided under Section 1.2.01. The Joint Committee 
staff may request additional information, psoe questions or problems discovered 
in reviewing the proposed rulemaking, and communicate or meet with appro- 
priate agency personnel to discuss the proposed rulemaking. Such staff 
review will be based on the criteria outlined in Section 1.2.06. The staff 
may develop a recommendation for action, including the issuance of an objec- 
tion to the proposed rule or the development of legislation by the Joint Com- 
mittee. Such recommendation shall be advisory only and shall not limit 
the Joint Committee's discretion to take different appropriate action. 

Section 1.2.0^: At the Joint Committee hearingon a notice of proposed rule- 
making, the proposing agency bnall provide to the Joint Committee an evalua- 
tion of all submissions regarding the proposed rulemaking received by the 
agency up to one week prior to the hearing. If no submissions have been 
received by the agency prior to that time, the agency should submit a state- 
ment stating such to the Joint Committee. Evaluation of submissions re- 
ceived later than this date shall be submitted to the Joint Committee upon 
filing the rulemaking for adoption with the Secretary of State in accordance 
with Section 1.2.13. Such evaluations should focus on the relevance of the 
comments to the criteria outlined in Section 1.2.06 and should include each 
of the following: 

1. A list of all individuals or groups making written submissions, or re- 
questing the opportunity to make a written submission. 

2. A list of all specific criticisms or comments raised in the submissions. 

3. The agency's response to each of the specific criticisms or comments 
as related to the criteria outlined in Section 1.2.06. 



236 



TEXT OF PROPOSED RULE 

Section J. 2. 05: The Joint Committee will hold full and adequate hearings on 

proposed rulemaking. Oral testimony will be taken from appropriate person- 
nel of the proposing agency. Written comments will be considered from 
individuals or groups affected by the rules as relevant to the criteria out- 
lined in Section 1.2.06. Such written comments should be sent to the Execu- 
tive Director, Joint Committee on Administrative Rules, 520 South Second 
Street, Suite 100, Springfield, Illinois 62706, "and should be received at least 
three working days prior to the hearing. The tentative agenda for each 
hearing will be published as soon as practical prior to each hearing in the 
Illinois Register. 

Section 1.2.06: The Joint Committee will give major consideration to the fol- 
lowing criteria in reviewing proposed rulemaking: 

1. Legal authority for the proposed rulemaking. 

2. Compliance of the proposed rulemaking with legislative intent. 

3. Compliance with state and federal constitutional requirements and 
other law. 

4. The proposing agency's statement of justification and retionale for 
the proposed rulemaking. 

5. Anticipated economic effect of the proposed rulemaking on the public 
and the agency's budget. 

6. Clarity of the language of the proposed rulemaking for understanding 
by the affected public. 

7. Sufficient completeness and clarity to insure meaningful guidelines 
and standards in the exercise of agency discretion. 

8. Redundancies, grammatical deficiencies and technical errors in the 
proposed rulemaking. 

9. Compliance of the agency with the requirements of the Illinois Adminis- 
trative Procedure Act and responsiveness to public submissions regarding 
proposed rulemaking. 

Section 1.2.07: If the Joint Committee finds that the proposed rulemaking is 
significantly deficient in relation to any of the criteria outlined in Section 
1.2.06, the Joint Committee will object to the proposed rulemaking. 



237 



TEXT OF PROPOSED RULE 

Section 1.2.08: If the Joint Committee objects to any proposed rulemaking, 
the Executive Director of the Joint Committee within five working days 
of the objection, shall certify the fact of the objection to the proposing 
agency. Such certification will be made in the manner shown in Illustration 
I. The certification to the agency shall include a statement of specific ob- 
jections of the Joint Committee to the proposed rulemaking. 

Section 1.2.09: The proposing agency should respond to an objection -within 

90 days of the receipt of the statement of specific objections, ine agency 
response should address each of the specific objections stated in the statement 
of objections. The response should be concise, but complete, clearly stating 
the gency's response and rationale for such response. The response should 
be made in the manner shown in Illustra-tion II. 

Section 1.2.10: The agency must respond to the Joint Committee's objection 
in one of the following manners: 

1. Modification of the proposed rulemaking to meet all specific objec- 
tions stated by the Joint Committee in the statement of objections. 
The complete text of the proposed rulemaking including all modifica- 
tions should be included in the response. 

2. Withdrawal of the proposed rulemaking. If responding in this manner, 
the agency should state the particular objections of the Joint Com- 
mittee which are the basis of the withdrawal. 

3. Refusal to modify or withdraw the proposed rulemaking. The agency 
should present in its response its justification and rationale for re- 
fusing to modify or withdraw the proposed rulemaking, addressing 
each of the specific objections stated by the Joint Committee. 

Section 1.2.11: Each statement of specific objections to a proposed rulemaking 
isssued by the Joint Committee shall be submitted as soon as practical to 
the Secretary of State for publication in the Illinois Register. 

section 1.2.12: On the same day as submission of a Notice of Rules Adopted 

to the Secretary of State for publication in the Rlmois Register, tne agency 



238 



TEXT OF PROPOSED RULE 

shall provide to the Joint Committee a description of and rationale for any 
modifications made in the rules betweenthe initial proposed rulemaking 
and final publication, which is not clearly indicated in the notice of adoption 
as published in the Rlinois Register. 

Section 1.2.13: The agency shall also provide on the same day as submission 
of a Notice of Adopted Rules to the Secretary of State an evaluation of 
all submissions received by the agency regarding the rule after the evalua- 
tion requested to be submitted at the Joint Committee hearing under Section 
1.2.04 and containing the same specific information. If no submissions have 
been received regarding the rule during this time, the agency should submit 
a statement stating such to the Joint Committee. 

Section 1.2.14: The Joint Committee may develop legislation to remedy defi- 
ciencies or problems, clarify legislative intent, provide statutory rulemaking 
authority, or deal with other situations encountered in reviews of proposed 
rulemaking. The Joint Committee will approve such legislation by majority 
vote and have such legislation introduced in either House of the General 
Assembly. 



239 



TEXT OF PROPOSED RULE 

ILLUSTRATION I 

JOINT COMMITTEE ON ADMINISTRATIVE RULES 

CERTIFICATION OF OBJECTIO N 

The Joint Committee on Administrative Rules, objected on 

(Date of Objection), to the 's (Name of Agency) 

proposed (Title of Rulemaking) 

which was published in the Illinois Register on (Date). 

This objection is made pursuant to Section 7.04 and 7.06 of the Illinois Administra- 
tive Procedure Act, as amended. A statement of the Joint Committee's specific 
objections accompanies this certification. 

Please take notice that failure to respond within 90 days of the receipt of this 
Certification of Objection shall constitute withdrawal of the proposed rulemaking 
in its entirety. 

Certified (Date). 



(Signature) 



(Typewritten Name) 
Executive Director 
Joint Committee On 
Administrative Rules 



240 



TEXT OF PROPOSED RULE 



ILLUSTRATION II 



AGENCY RESPONSE TO JOINT COMMITTEE OBJECTION 



DATE: 



Agency: 



Title and Subject of Rule: 



Response (Check One): 



Modification of Rulemaking to Meet Objections 
Withdrawal of Rulemaking 
Refusal to Modify or Withdraw 



Signature of Agency Official 



Agency Response to Specific Joint Committee Objections: 
(Respond to each objection raised by the Joint Committee, indicating clearly 
the intended action of the agency in response to each objection and the rationale 
for such response. Use additional pages as necessary.) 



2k \ 



APPENDIX C 

JOINT COMMITTEE ON ADMINISTRATIVE RULES 

POSITION PAPER 

ADOPTED OCTOBER 19, 1978 

PROVISION OF STANDARDS AND SAFEGUARDS 

FOR EXERCISING DISCRETION IN AGENCY RULES 



One of the key policy issues faced by the Joint Committee is the extent to which 
agencies should be required to specify by rule their standards and procedural 
safeguards for the exercise of agency discretion. The Joint Committee has taken a 
relatively firm stand on this issue and has objected to a significant number of 
proposed agency rules based on a lack of adequate standards and/or procedural 
safeguards. A typical Joint Committee objection is the statement of objection 
issued on August 24, 1978, objecting to Department of Corrections' proposed 
Juvenile Division Rule on Youth Allowances. The statement said: 

The Joint Committee objects to this proposed rule 
because it lacks adequate specificity in delineating the 
procedures to be followed and the standards to be used 
in making necessary determinations in carrying out the 
functions of the Department in this area. Since the 
Department must have a policy embodying meaningful 
standards to protect against arbitrary action and 
unequal and unfair treatment of youths in the 
administration of this program, the rule does not fully 
state the Department's policy. 

The basic purpose of all rulemaking by agencies is to provide guidelines for the 
exercise of an agency's discretion. In a simplified sense, a statute delegates a 
specific task to an agency requiring the agency to make determinations and 
decisions in carrying out the task; the statute delegates an area of discretion to an 
agency. The agency must develop a systematic non-arbitrary means of exercising 
that discretion. Rules then become the basic bridge between statutory authority 
and actual agency operations. Controlling discretion is the primary purpose of 
rules and the specification of standards and procedural safeguards are at the heart 
of controlling discretion. As the administrative law professor, Kenneth Culp Davis 
has said: 



243 



...the hope for better protection lies not in better 
statutory standards but in administrative standards and 
safeguards... The requirement should gradually grow 
into a requirement, judicially enforced, that' 
administrators must strive to do as much as they 
reasonably can do to develop and to make known the 
needed confinements of discretionary power through 
standards, principles, and rules. ( Administrative Law 
Text , 1972, p. 147) 

Specification of standards and procedures for the exercise of discretionary power, 
therefore, serves three vital rulemaking ends. The first is the prevention of arbi- 
trary action by the agency. Agencies must act systematically in exercising dis- 
cretion to avoid arbitrary action. Public statement of the standards and safeguards 
to be used in acting systematically provides an additional protection against 
arbitrary action. A second purpose is to inform the public of the agency's policy in 
regard to its exercise of discretion. The third purpose is to provide a specific basis 
for appeal of agency determinations to judicially insure agency compliance with its 
established standards. All three purposes are closely interrelated and deal with 
some of the basic issues behind passage of the Illinois Administrative Procedure 
Act. 

The Joint Committee has consistently objected to rules which fail to provide 
meaningful standards for agency determinations and procedural safeguards against 
arbitrary action. This policy of the Joint Committee to object to rules which do 
not contain meaningful standards and procedural safeguards is consistent with the 
trend of judicial decisions. In reviewing agency rules, courts have increasingly held 
that agencies should be required to state standards to guide their discretion. The 
Court of Appeals for the District of Columbia has spoken of "an incipient but 
powerful trend in the law — a new refusal to rely blindly upon the unstructured 
exercise of official discretion and a new judicial willingness to require 
promulgation of and obedience to rules by administrative agencies." (U.S. v. 
Bryant, 439 F.2d 642, 652 (D.C. CIR. 1971)). 



244 



The specific statutory basis on which the Joint Committee has usually objected to 
rules which inadequately specify standards and safeguards is Section Mc) of the 
Illinois Administrative Procedure Act. This provision states that "No agency rule is 
valid or effective against any person or party, nor may it be invoked by the agency 
for any purpose, until it has been made available for public inspection and filed 
with the Secretary of State as required by this Act." (Il.Rev.Stats.1977, 
ch.l27,par. 1004(c)). Since the definition of rule includes "each agency statement of 
general applicability that implements, applies, interprets, or prescribes law or 
policy" (Sec. 3.09), and the agency must have a systematic policy for making 
determinations if it is to avoid acting arbitrarily, that policy must be stated in a 
rule to be in compliance with the Administrative Procedure Act. According to the 
Act, such unpromulgated general rules will not be effective and cannot be invoked 
by the agency. 

The Joint Committee does not feel that requiring agencies to specify standards and 
develop procedural safeguards where possible will hinder agencies in administering 
laws. The agency must follow standards if it is to avoid arbitrary action; the 
further point here is that the agency should also formally state those standards in 
rules. Even in granting exceptions to a rule, the general rationale for such 
exceptions should be stated in the rule. 

For example, it may be necessary for a licensing agency to impose a bonding 
requirement upon some applicants but not upon others. A "shopping list" of 
examples would likely be cumbersome and would doubtless exclude some applicants 
that the agency would want included. In order to avoid this dilemma, the agency in 
this example should identify those distinguishing factors common to all parties 
which it desires to single out for special treatment. In other words, the agency 
should ask "When and why would an exception be made?" This question should 
suggest a standard for making exceptions. Perhaps the additional requirement is 
for an additional surety bond. When and why would such an additional bond be 
warranted? Usually, additional bonding requirements are imposed when some 
unusual circumstances indicate that additional security is required to adequately 
assure compliance. Thus, the rule could be stated in terms of its goals: "An addi- 
tional bond shall be required to assure compliance with these rules when, upon 
consideration of all relevant facts, the agency determines that compliance by the 



2k5 



applicant will be unusually difficult or unlikely." It is enough to so state this 
reasoning as the rule regarding requirement of additional bonding. Specific situa- 
tion examples (poor prior payment record, previous bankruptcy, prior conviction of 
the treasurer for embezzlement, etc.) are not required to be stated, although 
examples may be very helpful in specific cases. 

The result should be a general but flexible standard which informs the public with- 
out unduly hampering agency discretion. Providing meaningful, publicly-available 
standards which will form the basis of an agency's exercise of its discretion is an 
important element of the Illinois Administrative Procedure Act. 



246 



APPENDIX D 
HOUSE BILL 15 (Public Act 80-1457) 



!5.C15 Scrolled LS680-202U-3E/tc 

1 AN ACT to anend Sections 2, 3.01, 7 and 7.02 of "The 11 

2 Illinois Adainistri ti ve Procedure, Act", approved Septeaoer 12 

3 22, 1975. 

<J Be it er.acted by th e P^ooU of the State__ot Illinois^ 14 

o r;pr;s^r.t^d jr. the General Ass=pbly: 15 

6 Section 1. Sections 2, 3.01, 7 and 7.C2 of "The Illinois 17 

7 id ai a istrati ve Procedure let", approved Septeaoer 22, 1975, 13 

8 are aaended to read as follows: 

<Ch. 127, par. 1CC2) 20 

9 Sec. 2. This Act applies to every agency as defined 22 

10 herein. Beginning January 1„ 1978 in case of conflict 23 

11 between the provisions of this Act and the Act creating or 2- 

12 conferring power on ac agency, this Act shall control. 

13 However if an agency has existing procedures on July 1, 1977 25 
1 <» specifically for contested C3ses or licensing those existing 26 

15 provisions control, except that this exception respecting 27 

16 contested cases and licensing does not apply if the Act 2£ 

17 creating or conferring power on the agency adopts by express 

13 referecce the provision of this Act. Where the Act creating 2< 

19 or conferring power on an agency establishes adainisttati ve • 3C 

procedures not covered by this Act, such procedures shall 3' 



20 

21 reaain in effect 

22 The provisions of this Act shall not apply to (1) 3 

23 preliminary firings, investigations or practices where no 3 
2H final de te rainations affecting State funding are made by the 3 

25 State Board of Education, (2) State Board of Education 

26 stateoents, guidelines or policies which do not have the 3 

27 force of law, a~Eri (3) legal opinions issued under Section 3 

23 2-3.7 of The School Code , and ( *),, as to 5t?te cclleoj; an_c 3 

29 "nilsXsi lies.! the ir di s ciplina r y and grievance croc eedioqs. 3 

3^ acad-BJc irrecnl ari t v a nd capr icious gr aci ng pro ceedin gs, and U 

31 adnissior. standa rds- and procedures . Neither shall the « 

rovisions of this Act apply to hearings under Section 20 of <» 



32 



247 



H2C015 levelled 



-2- 



L£B30-2C^U-:n/tc 



tae "Uniform Disposition of Unclaimed Property Act". 

(Ch. 127, par. 1003.01) 

Sec. 3.01. "Agency" ueans each off icer, board^ 

co^jission and aqercv created bv the C onstitu tio n, whe ther in 

t he ei ec uti ve , l egislati v e, o r -judicial branc h of St ate 

co7err.aen t, but ot he r than th e circ uit court; ° acb of f icer L 

ceoa rt ae nt . boa rd , co::issio3, agency, insti tution, 

aut h ority, unive rsity, bo dy p olitic an d co r por a te of t he 

Sta_t ej an d ea c h admini strative u~it or corporate o utgrowth of 

t = ? State cover cae r.t wh ich is created bv o r p ursuant to 

s -l^_ti!te a _other_t ban units of loc al gove rnme n t a nd their 

offi cer s , school d istr i cts an d boards of elect ion 

coja issiorers : each admi nistrative un it or co rpor ate 

out crowth of the ab ove an d as may b e cre ated b v executiv e 

or der o f the Gov ernor. However, "ag encv " does not inc lude: 

(a) the Hou s e o f Representatives a nd Sena te, and t heir 
res pective st anding an d servi ce coi oittees; 

(b ) the Gover nor; an d 

(c) the -just i ces a nd judoes of the Supreme ap d Ap pellate 

Courts. 

No en tity shall be c onside red ac "agency" for t he 

purposes of t his Act unless :t: : c io:rJi coniojio:. 



iG-r authorized by law to oake rules or to 



determine contested cases. 

(Ch. 127, par. 1007) 

Sec. 7. Publication of Bules.) (a) The agency shall 

compile, index and publish all its rules .adopted under the 
provisions of this Act, and all rules certified under the 
provisions of subsection ( b) of Section 7. CM S :j'. ios 7 ■ ~ 1 ; t) 

of this Act. The init ial conp ilation, inde x and publ i cation 

rjguired bv this Section sha ll c ontain all rules in ef fect ca 

Ju lv 1 , 19 8Cj and shall be filed as provide d in sub sect ion 

ib] nqllater than October 1, 1980 . The reafter, compilations 

shall be supplemented or revised and certified as current to 



248 



15 Enrolled 



the Sc-c^tarj ot State at least once every 2 years. 

(b) Compilations, supplements and revisions required by 81 

this Section shall be filed in the office of the Secretary of 62 

State in Springfield, Illinois and in the Cook County Law 83 

Library in Chicago, Illinois and vith the Joint Coaoittee on -84 

Administrative 9ules. The agency shall iace coapilations, 85 

supplements and revisions available upon request to agencies 36 
and officials of this State without charge ana to other 

persons at prices established by the ageLcy to cover mailing 87 

and publication costs. 88 

jc) The Secretary of State shall, bv rule, prescribe a 9 

unifor m s vst en for the codificatio n of rules on or bef ore 9 1 

Julv 1, I960. A ll rules on file vith the Secr etary o f State 92 

and in effect on July 1, 1 9 8 u , sh all be i n compl ia ne e _vi th 9 3 

the ug_ if or_B sjstea for tjie codiJi_ca ti on of ruUs. The 

Secre_tary_of _Sta t e_sha 11 not_a doot a nv c odifica tio n svs tei 9u 

urd er th_i s subsec t ion without t he approval of th e Jo int 9 5 

Cosmitte e on Ada jp.ist rat iva Pules. A poro val by the Jo int 96 

Co? 51 ttee s hall be conditioned solely uoo n es tablishing t hat 

the proocsed codification s vst ea is coaoati ble vith ei_ist i no 9 7 

electronic data pro cessing equipment and pro grams ma i ntaine d 9 8 
bv and for the General Asseotly. 

(Ch. 127, par. 1C07.02) 10 

Sec. 7.02. (a) The Joint Committee on Ada in istr ative 10 

Rules, is hereby created. The Joint Cooaittee shall be 10 

composed of 16 aenbers, 1 members appointed by the President IC 

of the Senate and U by the Senate minority Leader, and 1 10 
Eenbers appointed by the Speaker of the House of 

Representatives and 1 by the Bouse Hinority Leader. 10 

Bembers of the Joint Committee shall be appointed during 10 

the Honth of July of each odd numbered year for 2 year terms 10 

beginning August 1, and until their successors are appointed 11 

and qualified. In the event of a death of a member or if a 11 

ceober ceases to be a member of the General Assembly a 11 
vacancy shall exist. Vacancies shall be filled for the tiae 



249 



.015 Scrolled 



LBSaO-202 — JS/tc 



remaining of the tern in the siae manner as the original 
appointments. All appointments shall be in writing and filed 
with the Secretary of State as a public record. 

(b) Tbs Joint Coaaittee shall organize during the aoctfc 
of September each odd nuaterid year by electing a Chairaan 
and such other officers as it deens necessary. Tne 
Chairmanship of the Joint Comxittee shall be for a 2 year 
term and may not be tilled in 2 successive terms by persons 
of ths saae political party. Members of the Joint Committee 
shall serve without compensation, but shall be reiabursed for 
expenses. The Joint Coaaittee shall hold nonthly aeetings 
and aay aeet oftener upon the call of the Chairaan or c 
neabers. A guorua of the Joint Committee consists of a 
aajority of the aeobers a pr oil ^-?4 :":oj — ee-s4i h : ' izn =-£ s-fc-e 



(c) When feasible the agenda of each neeting of the 
Joint Coaaittee shall be subaitted to the Secretary of State 
to be published at least 5 days prior to the meeting in the 
Illinois Eegister. The provisions of this subsection shall 
not prohibit the Joint Committee froa acting'upon an itei 
that was not contained in the published agenda. 

(d) The Joint Coomittee shall appoint an Executive 
Director who shall be the staff director. The Executive 
Director shall receive a salary to oe fixed by the Joint 
Coaaittee. 

The Executive Director shall be authorized to employ and 
fia the compensation of such necessary professional, 
technical and secretarial staff and prescribe the duties of 
such staff. 

(e) ?).c iMti 
gjv ji 1 1 ■ — i^ k d j d o — = it-ei — *-=~a-= 



+e> A per: 



it office of the Joint Committee shall t>e 



250 



d 3 C 1 5 Enrolled 



LBa3C-202«-f12/tc 
Space See; 



1 in the Stats Capitol Conplex wherein 

2 Coscission shall provide suitable offices. 

3 Section 2. Tnis acecdatory Act shall take effect January 
<t 1, 1979. 



25J 



APPENDIX E 




William J. Scott 

ATTORNEY GENERAL 

STATE OF ILLINOIS 

SPRINGFIELD 

62706 

June 29, 1978 



FILE NO. S-1362 

ADMINISTRATIVE LAW: 

Applicability of Illinois Administrative 
Procedure Act to the Board of Trustees 
of the University of Illinois 



Honorable Harry Yourell 

State Representative 

Chairman, Joint Committee on Administrative Rules 

612 South Second Street - Lower Level 

Springfield, Illinois 62706 

Dear Representative Yourell: 

I have your letter wherein you ask whether the 

Illinois Administrative Procedure Act (111. Rev. Stat. 1977, 

ch. 127, par. 1001 et seq . ) is applicable to the Board of 

Trustees of the University of Illinois. Section 2 of the Act 

(111. Rev. Stat. 1977, ch. 127, par. 1002) provides that the 

Act applies to every "agency" as that term is defined in the 

Act. Section 3.01 of the Act (111. Rev. Stat. 1977, ch. 127, 

par. 1003.01) defines the term "agency" as follows: 



Honorable Harry Yourell - 2. 

"'Agency' means each State Board, commission, 
department, or officer, other than the Governor, 
legislature, or the courts, authorized by law to 
make rules or to determine contested cases." 

Therefore, in order for the Act to apply to the Board of Trustees 

of the University of Illinois, the Board must be a "State Board" 

and must be authorized by law to make rules or to determine 

contested cases. It is my opinion that the Board of Trustees 

meets these requirements and is thus subject to the Illinois 

Administrative Procedure Act. 

I am aware that in People v. Barrett (1943), 382 111. 

321, 342, 347, the Illinois Supreme Court held that the Board 

of Trustees of the University of Illinois, as a corporation, was 

separate and distinct from the State and that, as a result, the 

Attorney General was not its legal advisor. Relying on Barrett , 

the court in Board of Trustees of the University of Illinois v. 

Industrial Commission (1969), 44 111. 2d 207, 212, ruled that 

the Board of Trustees was an entity independent of the State; 

the court therefore held that the Board was not within the 

immunity clause of the 1870 Constitution (111. Const. 1870, art. 

IV, § 26) and that section 19(f) (1) of the Workmen's Compensation 

Act (111. Rev. Stat. 1967, ch . 48, par. 138.19(f)(1)) did not 

prohibit the Board from seeking judicial review of a decision 



254 



Honorable Harry Yourell - 3. 

of the Industrial Commission. The court in Board of Trustees , 
however, did not hold that the Board of Trustees of the Univer- 
sity of Illinois was not an arm of the State. Kane v. Board of 
Governors of State Colleges and Universities (1976), 43 111. App. 
3d 315, 322. 

The appellate court in Kane examined the statutory 
provisions relating to the Board of Governors of State Colleges 
and Universities and concluded that the Board of Governors was 
not autonomous and totally independent of the State of Illinois. 
Rather, the court held that the Board of Governors was an arm of 
the State which was to be sued, as other State agencies, in the 
Court of Claims. An examination of the statutory provisions 
relating to the Board of Trustees of the University of Illinois 
demonstrates that the Board of Trustees is also an arm of the 
State. 

The Board of Trustees is a creation of the General 
Assembly. (111. Rev. Stat. 1977, ch. 144, par. 22.) The 
Governor serves on the Board of Trustees; the nine elected 
members of the Board are chosen by the voters of the State at 
general elections. (111. Rev. Stat. 1977, ch. 144, par. 41.) 
The Board has the power to acquire property. (111. Rev. Stat. 
1977, ch. 144, pars. 22, 48.1, 70.2.) However, the Board can 



255 



Honorable Harry Yourell - 4. 

only acquire and hold property as the trustee and agent for the 
State ( People v. Barrett (1943), 382 111. 321, 341.) The State 
is the beneficial owner of all property, the title to which may 
be held by the Board of Trustees. People ex rel. Olmsted , v. 
University of Illinois (1928), 328 111. 377, 382. 

The Board of Trustees is required generally to pay 
income received by the University of Illinois into the State 
Treasury, to be held in a special fund. The General Assembly 
is authorized to make appropriations from this special fund 
for the support, operation and improvement of the University of 
Illinois. (111. Rev. Stat. 1977, ch. 127, par. 142d.) The 
Board's expenditures are subject to both the State Comptroller 
Act (111. Rev. Stat. 1977, ch. 15, par. 201 et seq .) and the 
Illinois State Auditing Act. 111. Rev. Stat. 1977, ch. 15, par. 
301-1 et seq . 

The persons employed by the Board of Trustees are 
employees of the State. ( People ex rel. Redman v. Board of 
Trustees (1918), 283 111. 494, 499.) They are covered by the 
State University Civil Service System (111. Rev. Stat. 1977, 
ch. 24 1/2, par. 38bl et seq . ) and are participants in the State 
Universities Retirement System. 111. Rev. Stat. 1977, ch. 
108 1/2, par. 15-101 et seq . 



256 



Honorable Harry Yourell - 5. 

These statutory provisions and court cases demonstrate 
clearly that the Board of Trustees is a State board. Although 
the Board for some purposes may be separate and distinct from 
the State, it is not autonomous and completely independent of 
the State. The Board of Trustees administers the University of 
Illinois according to the requirements of State statutes and 
within the limits of the General Assembly's appropriation. "It 
functions solely as an agency of the State for the purpose of 
the operation and administration of the university, for the 
State." ( People v. Barrett (1943), 382 111. 321, 343.) See also 
Pope v. Parkinson (1977), 48 111. App. 3d 797, 802, wherein the 
court not only assumed that the University of Illinois was, as 
a State agency, subject to the Open Meetings Act (111. Rev* Stat. 
1977, ch. 102, par. 41 et seq .) but also, relying on the Kane 
case, stated explicitly that it was an arm of the State. 

In addition to being a State board, the Board of 

Trustees is authorized by law to make rules. Section 3.09 of 

the Illinois Administrative Procedure Act (111. Rev. Stat. 1977, 

ch. 127, par. 1003.09) defines "rule" as follows: 

"'Rule 1 means each agency statement of general 
applicability that implements, applies, interprets, 
or prescribes law or policy, but does not include 



257 



Honorable Harry Yourell - 6. 

(a) statements concerning only the internal manage- 
ment of an agency and not affecting private rights 
or procedures available to persons or entities outside 
the agency, (b) informal advisory rulings issued 
pursuant to Section 9, (c) intra-agency memoranda or 
(d) the prescription of standardized forms." 

The Board of Trustees is expressly authorized by statute to make 

rules which meet this definition, ( e.g . 111. Rev. Stat. 1977, 

ch, 23, par. 2209 (rules for the management of the Surgical 

Institute for Children); ch. 127, par. 132.5 (rules for purchases)) 

In addition, it is the generally accepted rule that State agencies 

have implied powers to make all necessary and reasonable rules 

to carry out their express powers and duties. FCC v. Schreiber 

(1965), 381 U.S. 279, 289; Kerr's Catering Service v. Dep't of 

Industrial Relations (1962), 57 Cal 2d 319, 329, 369 P. 2d 20, 

26. 

The Board of Trustees of the University of Illinois 

is a State board, and it is authorized by law to make rules. 

Therefore, the Board of Trustees meets both of the requirements 

for being an "agency" as that term is defined in section 3.01 

of the Illinois Administrative Procedure Act. Because the Board 

of Trustees is an "agency", it is my opinion that the Illinois 



258 



Honorable Harry Yourell - 7 



Administrative Procedure Act is applicable to the Board, 

Very truly yours, 




E R A L 



259 



881-15 
LOT 46A 



I