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Full text of "1979 Annual Report-Joint Committee on Administrative Rules, Illinois General Assembly"

Digitized by the Internet Archive 

in 2012 with funding from 

CARLI: Consortium of Academic and Research Libraries in Illinois 



http://archive.org/details/1979annualreport00illi 



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February 
1980 



ws 




ANNUAL 
REPORT 



ILLINOIS GENERAL ASSEMBLY 

^JJOINT 
(COMMITTEE 
ON 

Administrative 
S ules 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 

ILLINOIS GENERAL ASSEMBLY 



SENATE MEMBERS 



CHAIRMAN _^„ r _ 

SEN. PRESCOTT E. BLOOM /^W^'-'K JEREMIAH E. JOYCE 

'&/&%'' -O^S LYNN MARTIN 

FIRST VICE CHAIRMAN /S/f|--'v *» D A V ID J. R EG NE R 

SEN. ARTHUR L. BERMAN rtel %^ ,.,-,,. jor G EO RG E SAN GM EISTE R 

1 l^lftL •■VWjlr FRANK D. SAVICKAS 

SECOND VICE CHAIRMAN \*\-ffl3! ^' /r/ RICHARD A. WALSH 

IEP. JIM REILLY VNT* • / / 



^-£2 "J2' HOUSE MEMBERS 
SECRETARY 

REP. HARRY "BUS" YOURELL GLEN L. BOWER 

520 S. SECOND STREET • SUITE 100 ALAN J . GREIM AN 

XECUT.VE DIRECTOR SPRI NGFI ELD . I LLI NOI S 627 06 , ^SLAS N. KANE 

RUCE A. JOHNSON (217)78 5-2294 IV tW R,CH ARD KELLY . JR 

A. T. "TOM" MCMASTER 



LETTER OF TRANSMITTAL 



^00 



'fCKX- YAv* 1 



TO THE MEMBERS OF THE 81ST GENERAL ASSEMBLY: A nOC^' 

I hereby submit the Annual Report of the Joint Committee on Administrative Rules 
pursuant to Section 7.10 of the Illinois Administrative Procedure Act (111. Rev. Stat. 1977, 
ch. 127, par. 1007.10). As required, it contains the "findings, conclusions and 
recommendations including suggested legislation" of the Joint Committee for your 
consideration. 



I submit this with the hope the General Assembly will find it of assistance in 
exercising its constitutional duty to oversee the implementation of the laws we pass — a 
duty the General Assembly ignored from the 1920's, until it created the Joint Committee 
on Administrative Rules in 1977. Since we began operation, the Joint Committee has 
made significant advances in your capability to fulfill this responsibility. Agencies have 
become more aware of the necessity to implement statutes in accordance with legislative 
intent and the legislature, through the Joint Committee, now has a direct means of 
monitoring that agency rules do comply with legislative intent. 

The numerous and detailed statements of objection and recommended legislation as 
well as the statistical summaries presented in this report indicate the volume of work 
handled by the Joint Committee. We estimate that agency-made law in the form of the 
rules is three times as voluminous as the statutes passed by the legislature. And agency 
rules often represent the law which most directly affects the daily lives of the citizens of 
the State. It is vital that you have an effective means of overseeing these rules. 






3 1129 00232 4663 



UNOiS STATE LIBRARY 



. 2 . 



With the approval of House Bill 2226 (Public Act 81-1044), which became effective 
October 1, 1979, the Joint Comittee's review of newly proposed rules has been 
strengthened. The Joint Committee has also begun to implement your mandate to review 
existing rules on a systematic basis with the five-year review program (your "sunset" 
function) and with reviews based on complaints (your ombundsman function). The full 
range of the Joint Committee's duties has now begun; and I solicit your input about 
problems with agencies' rules that arise in your districts. 

As you review this report of our 1979 activities, you can appreciate the number of 
alligators standing between the General Assembly and draining the regulatory swamp 
created by 50 years of legislative neglect. Your serious consideration of our 1980 
recommendations will significantly assist in restoring the public's confidence in the 
General Assembly as the "people's branch" of government. 

Let me thank all the members of the General Assembly for your suggestions and 
comments on specific agency rules and on the development of the role of the Joint 
Committee. Only as each of us as legislators becomes concerned and involved in this 
oversight process can the Joint Committee, acting on your behalf, remind the unelected 
portion of Illinois' government that it, too, is accountable. 

Respectfully, 

Senator Prescott E. Bloom 
Chairman 



SUMMARY 

Activities 

As outlined in this Annual Report to the General Assembly, the Joint Committee on 
Administrative Rules during 1979 completed the implementation of each of its basic 
responsibilities under the Administrative Procedure Act. The on-going review of 
rulemaking required the examination of over 525 rulemakings by state agencies. The 
Joint Committee discovered numerous deficiencies in these rules, resolved most of them 
through cooperation with the agency, and issued 65 formal statements of objection. Each 
of these statements is presented in this report. 

Newly implemented programs during 1979 include the five-year comprehensive 
review program, reviews of rules based on complaints and review of public acts which 
require rulemaking. The Joint Committee also undertook a special review of plans of the 
Environmental Protection Agency pursuant to House Joint Resolution 16 and assisted the 
Office of the Secretary of State in the development of a uniform system for the 
codification of all state agency rules in Illinois. The more than 20 legislative 
recommendations of the Joint Committee included in the 1978 Annual Report received 
generally favorable consideration by the General Assembly during 1979. 

The Joint Committee has continued during 1979 to have a significant impact on 
agency-made law in Illinois and to fulfill an important systematic substantive oversight 
function for the Illinois General Assembly. 

Recommendations 

The Joint Committee is recommending several additional procedural changes in the 
Administrative Procedure Act. These recommendations are included in Recommended 
Bills One through Three. The first two recommended bills would provide means of 
increasing the Joint Committee's control over agency rulemaking. They would change the 
currently advisory powers of the Joint Committee into more effective tools for insuring 
that agency-made law complies with statutory authority and legislative intent. The last 
procedural bill makes a minor change in the applicability of the Act by excluding soil and 
water conservation districts from its coverage. 



Each of the six other bills being specifically recommended by the Joint Committee 
in this report addresses individual problems which have been uncovered during the review 
of agency rules. Many of these bills are intended to clarify the intent of the legislature in 
specific statutes and to provide clear direction to the agencies carrying out these 
statutes. 

In addition to the recommended bills, the Joint Committee is also presenting in this 
report sixteen alternative bills and suggesting that the General Assembly give careful 
attention to resolving these issues uncovered by the Joint Committee's review. While the 
Joint Committee believes that these issues are beyond its primary area of expertise, these 
are serious issues which should be addressed by the General Assembly. The Joint 
Committee is suggesting alternative approaches in these cases to facilitate consideration 
by the General Assembly. 



TABLE OF CONTENTS 



Page 

INTRODUCTION: BACKGROUND AND OVERVIEW 9 

Creation and Basic Functions 9 

Committee Members 10 

Implementation Priorities 11 

Staff Organization 13 

Report Overview 15 

STATISTICAL OVERVIEW 17 

REVIEW OF RULEMAKING 35 

General Rulemaking 35 

Emergency and Peremptory Rulemaking 37 

Specific Statements of Objection Issued 40 

PUBLIC ACT REVIEW 89 

FIVE-YEAR REVIEW PROGRAM 93 

COMPLAINT REVIEWS 109 

SPECIAL HOUSE JOINT RESOLUTION 16 PROJECT 113 

PROCEDURAL LEGISLATION 119 

CODIFICATION PROGRESS 127 

COURT DECISIONS AND ATTORNEY GENERAL OPINIONS 131 

RESULTS OF 1978 LEGISLATIVE RECOMMENDATIONS 137 

LEGISLATIVE RECOMMENDATIONS 149 

Procedural Bills 149 

Substantive BiUs 151 

Text of Recommended Bills 176 

ALTERNATIVE BILLS 197 

Text of Alternative Bills 207 

APPENDICES 303 



TABLE OF RECOMMENDED AND ALTERNATIVE BILLS 



Recommended Bills 









Background and 




Procedural 


Affected 


Discussion/ 


Summary/ 


Text/ 


Bills 


Agencies 


Pages 


Pages 


Pages 


One 


All 


121-122 


149-150 


155-15$ 


Two 


All 


121-122 


150 


159-168 


Three 


Soil and Water 
Conservation Districts 


123 
Statement of 


150-151 
Background and 


169-17C 


Substantive 


Affected 


Objection/ 


Summary/ 


Text/ 


Bills 


Agencies 
Department of 


Pages 
41-42 


Pages 
151 


Pages 


Four 


171-17: 




Agriculture 








Five 


Department of 
Conservation 


43-46 


151-152 


175-176 


Six 


Department of 
Financial Institutions 


48 


152 


177-18] 


Seven 


Department of 
Financial Institutions 


48-49 


152-153 


18 3-1 8 J 


Eight 


Department of 
Labor 


50 


153 


187-191 


Nine 


Pollution Control Board 


86 


154 


19 3-1 9 J 


dtemative Bills 




Statement of 


Background and 




Alternative 


Affected 


Objection/ 


Summary/ 


Text/ 


Bills 


Agencies 
Department of 


Pages 

58 


Pages 
197-198 


Pages 


One 


207-216 


Two 


Public Aid 






217-226 


Three 


Department of 


66-67 


198-199 


227-228 


Four 


Public Health 






229-230 


Five 


Department of 


68-69 


199-200 


231-234 


Six 


Public Health 






235-238 


Seven 


Department of 


69-70 


200-201 


239-241 


Eight 


Registration and Education 






243-245 


Nine 


Department of 


75 


201-202 


247-257 


Ten 


Revenue 






259-269 


Eleven 


Illinois Commerce 


76-77 


202-203 


271-276 


Twelve 


Commission 






277-282 


Thirteen 


Environmental 


81-82 


203-204 


283-287 


Fourteen 


Protection Agency 






289-293 


Fifteen 


Pollution Control 


none 


204-205 


295-298 


Sixteen 


Board 


issued 




299-302 



LIST OF TABLES 



Pages 

Table One: Functional and Personnel 

Organizational Charts of the Office of 

the Joint Committee 14 

Table Two: Statistical Summary of 

Rulemakings by Agency for 1979 20-21 

Table Three: Comparison of Emergency and 
Peremptory Rulemakings by Agency 
for 1978 and 1979 22-23 

Table Four: Statistical Summary by Agency 
of Statements of Objection Issued 
During 1979 and Agency Responses 24 

Table Five: Updated Statistical Summary 
by Agency of Statements of Objection 
Issued During 1978 and Agency 
Responses 25 

Table Six: Comparison of Proposed 
Rulemakings and Statements of 
Objection by Agency for 1978 and 
1979 26-28 

Table Seven: Statistical Summary of Joint 
Committee Review and Impact on 
Rulemaking in 1979 29 

Table Eight: Updated Statistical Summary 
of Joint Committee Review and 
Impact on Rulemaking in 1978 30 

Table Nine: Comparison Between 
Statistical Summary of Joint 
Committee Review and Impact on 
Rulemaking in 1978 and 1979 31 

Table Ten: Statistical Summary of 

Statements of Objection Issued by 

Quarter During 1979 32 

Table Eleven: Updated Statistical Summary 
of Statements of Objection Issued by 
Quarter During 1978 33 

Table Twelve: Statistical Summary of Joint 
Committee Review of Emergency and 
Peremptory Rulemaking by Agency 
During 1979 34 



Pages 

Table Thirteen: Number of 1979 Public Acts 

Which Could Require Rulemaking by Agency 91-92 

Table Fourteen: Schedule of Subject Areas 

for the Five-Year Review Program 101 

Table Fifteen: Rules being reviewed under 

the Five-Year Review Program 104-108 

Table Sixteen: Members of the HJR16 

Subcommittee 115 

Table Seventeen: Public Acts Affecting the 

Illinois Administrative Procedure Act 124 

Table Eighteen: Specific Sections of the 
Illinois Administrative Procedure Act 
Affected by Public Acts 125 

Table Nineteen: Ad Hoc Rules Codification 

Task Force Participants 129 

Table Twenty: Statistical Summary of 
Results of 1978 Legislative 
Recommendations 138 

Table Twenty-One: Results of Individual 

Recommended Substantive Bills 139-144 

Table Twenty-Two: Results of Individual 
Recommended Amendments to the 
Administrative Procedure Act 145-147 



INTRODUCTION: BACKGROUND AND OVERVIEW 



This report summarizes the activities of the Joint Committee on Administrative 
Rules during 1979, its second year of operation. The recommended legislation included in 
this report represents the most visible results of the Joint Committee's efforts during this 
year. 

The less visible results of the Joint Committee's efforts are also important, 
however. Agencies have made significant changes in proposed rules in response to 
objections made by the Joint Committee. The five-year review program is beginning to 
provide a means of evaluating existing rules in a comprehensive manner by subject area. 
The legislature is more aware of the importance of rulemaking actions and agencies are 
more aware of the need to adhere closely to the requirements of the statutes being 
implemented by rulemaking. 

This introduction will provide general background information about the Joint 
Committee as well as a brief overview of this report. 

Creation and Basic Functions 

The Joint Committee on Administrative Rules was created by the General Assembly 
in 1977 through the passage of House Bill 14 (Public Act 80-1035). This Act was a 
comprehensive amendment to the Illinois Administrative Procedure Act which had been 
enacted in 1975. The initial organizational meeting of the Joint Committee was held in 
October 1977, following the appointment of members by the legislative leaders. 

The basic function of the Joint Committee is described in Section 7.04(1) of the Act 

in these words: 

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. 

The key elements of this description of the Joint Committee's function can be delineated 
into three statements: (1) The Joint Committee has only advisory powers. (2) The Joint 
Committee should promote rulemaking which is adequate and proper. (3) The Joint 
Committee should promote public understanding of rules and the rulemaking process. 



The two major Joint Committee activities established by the Act are (1) review of 
rulemaking actions by agencies — Section 5.01, 7.04(5), and 7.06; and (2) review and 
evaluation of existing rules — Sections 7.04(2 and 3), 7.05(1), 7.07 and 7.08. Each of these 
major activities are directed toward accomplishing the Joint Committee's basic functions. 

Another way to express the Joint Committee's function is in terms of 
communication between the legislature and state agencies. The Joint Committee 
monitors agency rulemaking actions. So bringing the legislative and administrative 
processes closer together through increased communication and cooperation can be seen 
as one of the Joint Committee's basic functions. 

Committee Members 

The Administrative Procedure Act provides in Section 7.02 that the members of the 
Joint Committee serve for two-year terms. Appointments to the Committee are to be 
made in July of each odd-numbered year and the Committee is to select new officers 
following these appointments. 

The members appointed in 1979 to serve on the Joint Committee are the following: 

Senators Representatives 

Appointed by the President: Appointed by the Speaker: 

Arthur L. Berman Alan J. Greiman 

Jeremiah E. Joyce Douglas N. Kane 

George Sangmeister Richard Kelly, Jr. 

Frank D. Savickas Harry "Bus" Yourell 

Appointed by the Minority Leader: Appointed by the Minority Leader: 
Prescott E. Bloom Glen L. Bower 

Lynn Martin A.T. "Tom" McMaster 

David J. Regner Jim Reilly 

Richard A. Walsh Robert C. Winchester 

The new officers elected by the members of the Joint Committee at the October 
1979 organizational meeting are the following: 



10 



Chairman: Senator Prescott E. Bloom 
First Vice-Chairman: Senator Arthur L. Berman 
Second Vice-Chairman: Representative Jim Reilly 
Secretary: Representative Harry "Bus" Yourell 

Implementation Priorities 

In implementing its responsibilities under the Administrative Procedure Act, the 
Joint Committee established a system of priority program implementation concentrating 
first on the establishment of the on-going review functions and then initiating the longer 
term more in-depth review responsibilities. The initial priorities established by the Joint 
Committee in January 1978 were as follows: 

First Priority 

A. Establish the mechanics and the procedures for reviewing proposed rules 
during the 45-day notice period for proposed rulemaking. 

B. Develop a working relationship with the Secretary of State's office which must 
include the: 

1. establishment of adequate Rules on Rules ; 

2. development of daily operational procedures with the Secretary of 
State's Office; and 

3. establishment of an index system for the Illinois Register to make it 
more useable. 

Second Priority 

A. Establish a review program for specialized rules that shall include: 

1. Internal management rules; 

2. Emergency rules; and 

3. Federal and court ordered rules. 

B. Establish the procedure and the mechanics for handling and processing 
complaints the Joint Committee receives concerning a particular rule that 
currently is in effect. 

Third Priority 

A. Establish the five-year review program of each agency's rules as required by 
the IAPA. 

B. Establish the mechanics and the procedures for reviewing existing rules. 

C. Develop a program to study the rulemaking process of all state agencies. 



D. Begin to examine and develop a statewide indexing and codification system for 
all the state's administrative rules. 

E. Develop a program to study the impact of legislative changes, court rulings 
and administrative actions on the rulemaking process and on effective rules. 

F. Work with the Auditor General to establish a system to review state agency 
compliance with the IAPA. 

As the Joint Committee has actually implemented these responsibilities, these 
priorities have been refined and reorganized. The January 1978 list served primarily to 
focus attention on the immediate priorities at the time of initiating the on-going review 
of proposed rulemaking and establishing an efficient working relationship with the 
Secretary of State's office. These immediate priorities wre implemented during 1978. 

During 1979, the Joint Committee focused on implementing its longer-term, more 
in-depth review responsibilities, especially the five-year evaluation of all state agency 
rules. The development of the Background Report on Review of Existing Rules was a 
major portion of this process. The report contained a comprehensive set of 
recommendations for the implementation of these review programs by the Joint 
Committee. 

The program implementation priority list utilized by the Joint Committee in 1979 
follows. It includes citations to the major sections of the Administrative Procedure Act 
which authorize each program. 

Highest Priority 

Review of proposed rulemaking [Section 7.06] 

Second Priority 

Five-year periodic evaluation of all agency rules program [Section 7.08] 

Review of emergency and court and federal ordered rulemaking [Section 5(b) and 
5(e), Section 7.07] 

Special reviews of existing rules [Section 7.07, Section 7.05(2)] 

Review of procedural rules [Section 4.01, Section 7.05(1)] 

Third Priority 



12 



Review of related legislative changes, court rulings, and administrative action 
[Section 7.05(3)] 

Compliance activities [Section 7.04(3)] 

Another important step in the implementation of the full range of the Joint 
Committee's responsibilities during 1979 has been the development and adoption of formal 
rules to guide the Joint Committee's programs. Rulemaking by the Joint Committee is 
authorized by Section 7.09 of the Administrative Procedure Act. The rules for the review 
of proposed rulemaking had been adopted in 1978, but extensive revisions were made to 
comply with the procedural changes enacted by Public Act 81-1044. Rules for the review 
of emergency rulemaking (Rule Three), the review of federal or court-ordered, or 
peremptory, rulemaking (Rule Four), the five-year evaluation of all agency rules (Rule 
Five) and the complaint review program (Rule Six) were developed and adopted during 
1979. These rules appear in this report as Appendix C on pages 337-378. 

All the major responsibilities of the Joint Committee have been implemented at this 
point in time. Although the five-year and complaint programs did not show extensive 
results during 1979, they were implemented successfully. It is expected that the five-year 
review program will show major results during 1980 and may even replace the review of 
proposed rulemaking as the primary focus of the Joint Committee's activities. 

Staff Organization 

The organization and phasing-in plan of staffing of the Joint Committee was 
intended to complement the Committee's implementation priorities. The staff was 
organized into two operational sections — one section focusing on proposed rulemaking 
review (Rules Review Section) and the other section concentrating on the five-year 
evaluation and other reviews of existing rules (Compliance and Monitoring Section). More 
initial staff members were assigned to the Rules Review Section. 

During 1979, staffing of the Compliance and Monitoring Section progressed as 
planning was completed and implementation of the review programs began. 

Table One presents the functional and personnel organizational charts of the Joint 
Committee staff. The charts present the division of responsibilities between the sections 
as well as the assignment of personnel. The phased-in staffing has been successful in 



:. 



TABLE ONE: FUNCTIONAL AND PERSONNEL ORGANIZATIONAL CHARTS 
OF THE OFFICE OF THE JOINT COMMITTEE 



FUNCTIONAL ORGANIZATION 
CHART 



JOINT COMMITTEE ON ADMINISTRATIVE RULES ( 



EXECUTIVE DIRECTOR 



OPERATIONS DIVISION 



RULES REVIEW SECTION 



REVIEW OF PROPOSED RULEMAKING 

REVIEW OF SPECIALIZED (FEDERAL-ORDERED, 

COURT-ORDERED, EMERGENCY) RULEMAKING 

REVIEW NOTICES IN ILLINOIS REGISTER FOR 

COMPLIANCE WITH IAPA 

MAINTAIN AND UPDATE COMPLETE SET OF RULES 

MONITORING LEGISLATIVE CHANGES WHICH REQUIRE 

RULEMAKING 



* OVERALL STAFF SUPERVISION 

* PLANNING AND DEVELOPMENTAL PROJECTS 

* LIAISON WITH SECRETARY OF STATE 

* COOPERATE WITH SECRETARY OF STATE AND LEGISLATIVE 
INFORMATION SYSTEMS IN INDEXING AND CODIFICATION OF RULES 

* DEVELOPMENT OF RECOMMENDED LEGISLATION 



COMPLIANCE & MONITORING SECTION 

* FIVE-YEAR PERIODIC EVALUATION OF 
ALL STATE AGENCY RULES 

* COMPLAINT REVIEWS OF EXISTING RULES 

* OPERATE COMPLIANCE PROGRAM 

* STUDIES OF COURT RULINGS AND ADMINISTRA- 
TIVE ACTIONS AFFECTING RULES AND THE 
RULEMAKING PROCESS 



ADMINISTRATIVE DIVISION 



PERSONNEL 

PROCUREMENT 

COMMITTEE ADMINISTRATION 

MAINTAIN RESOURCE LIBRARY 

PAYROLL 

GENERAL SUPPORT 



PERSONNEL ORGANIZATION 
CHART 



[joint committee on administrative rules 



Executive Director 



_R U_L E 5 R E VI EW J EC TI O N 
Rules Review Manager 



Rules Analyst I 



!•' 'j|'--, Analyst 1 



Rules Analyst I 



Stall Attorney II 



Staff Attorney 



H 



}-< 



Assistant Director 



] [ 



OPERATIONS DIVISION 



Secretary II 



Secretary I 



COMPLI ANC E_&_MONITOJUNG JEC. 
Compliance & Monitoring Manager 



Rules Analyst II 



Rules Analvst I 



Rules Analyst I 



Rules Analyst I 



Rules Analvst I 



Staff Attorney I 



Staff Attorney I 



Staff Attorney 



y< 



J I ci 



Secretary II 



erk Typist III 



Clerk Typist 111 



_ AD_M1[NJSTRATI VE_p_I\aSJO_N_ 
Administrative Services Managt 



Clerk Typist III 



aiding in smoothly implementing the Joint Committee's responsibilities. The Joint 
Committee's full staffing size has been reached at this point in time. 

Report Overview 

This annual report is organized by the major programs and responsibilities of the 
Joint Committee. Following the statistical overview (pages 17-34), the programs 
conducted by the Rules Review Section are discussed. These include: (1) Review of 
proposed rulemaking, including emergency and peremptory rulemaking — pages 35-38. A 
complete listing of all the statements of objection issued by the Joint Committee is 
included in this Section. (2) Public Act review — pages 89-92. This review of legislative 
changes has been useful in increasing and improving communication between the 
legislature and administrative agencies. 

The next sections of this report discuss programs under the Compliance and 
Monitoring Section. These include: (1) Five-year Review Program — pages 93-108; and 
(2) Complaint Reviews — pages 109-111. Since these programs have only recently been 
implemented, the results presented in these sections are less detailed. 

Other projects and activities in which the Joint Committee has been involved are 
discussed in the sections on (1) Special House Joint Resolution 16 Project — pages 113- 
118; (2) Procedural Legislation — pages 119-125; and (3) Codification Progress —pages 
127-130. Several court decisions and Attorney General opinions which affect the 
interpretation of the Administrative Procedure Act are discussed in the next section 
because of their importance to the operation of the Joint Committee — pages 131-135. 

The results of legislation recommended by the Joint Committee during 1978 are also 
discussed — pages 137-147. This discussion provides a useful indication of the 
effectiveness of the Joint Committee in legislatively resolving the difficulties it 
uncovers. 

The final two sections contain bills developed by the Joint Committee for 
consideration by the General Assembly. The first of these sections of the report presents 
the legislation recommended by the Joint committee as a result of its activities during 

1979 — pages 149-195. These bills will be introduced by the Joint Committee during the 

1980 legislative session. 



15 



The other section presenting bills developed by the Jont Committee indicate serious 
problem areas uncovered during the Joint Committee's reviews. Rather than 
recommending a single bill in these cases, the Joint Committee is suggesting alternative 
legislation, allowing the General Assembly to address these serious issues — pages 197- 
302. 

The appendices present useful reference materials for individuals interested in the 
work of the Joint Committee, including the currently effective version of the 
Administrative Procedure Act (Appendix A on pages 305-318). 



16 



STATISTICAL OVERVIEW 



This section summarizes statistically the rulemaking actions of state agencies and 
the results of the review by the Joint Committee during 1979. The statistics are 
compared to those collected for 1978 which were presented in the 1978 Annual Report to 
indicate possible statistical trends in the rulemaking process in Illinois. 

Any attempt to present a quantitative analysis of a basically qualitative process is 
subject to some limitations. The most important limitation of these statistics is that each 
rulemaking is considered a unit, although they vary widely in length, complexity and 
importance. A rulemaking may be a simple amendment to change a few words in an 
agency's rules and having little impact on the public. But the adoption of a comprehensive 
set of rules with hundreds of pages of new regulations with a broad and significant impact 
on the public will also be considered a single rulemaking. Although this difference places 
a limitation on the value of these statistics, several factors reduce the importance of this 
difference. First, most agency rulemaking actions fall into a middle range of complexity 
and importance and are usually comparable to each other. Second, the detailed 
qualitative discussion in other sections of this report (pages 35-88) balances this 
statistical presentation. Third, the statistics are useful for comparisons between 1978 and 
1979, since statistics collected in both years are subject to the same limitations. 

Table Two (pages 20-21) presents the number of proposed, emergency and 
peremptory rulemakings by agency. Three agencies, the Department of Conservation, the 
Department of Public Aid and the Department of Public Health, account for 40.2% of all 
proposed rulemakings in 1979. These same agencies also account for 42% of all 
emergency rules adopted in 1979. The Department of Public Aid promulgated 6 of the 9 
peremptory rules adopted in 1979. 

One concern of the Joint Committee has been the excessive use of the emergency 
and peremptory rulemaking provisions. Table Three (pages 22-23) compares the number of 
peremptory and emergency rulemakings for 1978 and 1979. The figures are presented by 
agency. As indicated in the table, the Department of Conservation has decreased its 
number of emergency rulemaking actions drastically — from 30 in 1978 to only 8 in 1979. 
This accounts for most of the change in the total number of emergency rulemakings from 



17 



1978 to 1979. It is hoped that the review by the Joint Committee of these types of 
rulemaking will lead to an eventual reduction in the use of these procedures by all 
agencies. No real trend in this direction can be determined at this time. 

Table Four (page 24) presents a breakdown by agency of the statements of objection 
issued by the Joint Committee during 1979. The nature of the agency responses is also 
indicated in the table. The three agencies which proposed the majority of the rules also 
account for approximately 43% of the rulemakings which the Joint Committee objected 
to. The Department of Conservation refused to modify its rulemaking in response to Joint 
Committee statements of objection seven times. As can be seen by the specific 
objections on pages 42-46, the statements of objection to Conservation rulemakings 
concerned the same problem in most of the cases. 

The comparable statistics for 1978 are presented in Table Five (page 25). This is an 
updated version of the table presented in the 1978 Annual Report, indicating the nature of 
the responses which were pending at the time the 1978 Annual Report was prepared. 

A comparison by agency between the number of proposed rulemakings and the 
number of statements of objection issued by the Joint Committee is presented in Table 
Six (pages 26-28). The number of statements of objection issued include objections to 
emergency and peremptory rulemakings as well as proposed rulemakings. The total 
number of proposed rulemakings and Joint Committee objections have decreased slightly 
during 1979, however the figures do not support any projection of a trend in this direction. 
The changes in the rulemaking procedure which took effect October 1, 1979, may be 
partially responsible for this slight decrease. 

The basic results and effects of the Joint Committee review during 1979 are 
presented statistically in Table Seven (page 29). The estimated number of rulemakings 
with serious problems represents the number of rulemakings the staff would have 
recommended that the Joint Committee object to had the agency not modified the 
rulemaking and the number of rulemakings reviewed which the staff did recommend that 
the Joint Committee object to. Many rulemakings were modified prior to Committee 
meetings in response to staff suggestions. Other modifications were agreed to by 
agencies at the meetings. In only 65 cases did the Joint Committee issue a statement of 
objection to agency rulemaking. This table indicates something of the total extent to 
which the Joint Committee has had an impact on agency rulemaking in addition to those 



*_ 



instances in which the Joint Committee has issued statements of objection. The figures 
include emergency and peremptory rulemakings as well as proposed rulemakings. 

Comparable updated figures for 1978 are presented in Table Eight (page 30) and a 
comparison between the two years is presented in Table Nine (page 31). This comparison 
indicates that the number of rules withdrawn in response to statements of objection has 
decreased, while the number of refusals has increased. This increase does not indicate 
decreased responsiveness to the Joint Committee because it is largely the result of the 
refusal of the Department of Conservation to modify rules which present the same basic 
problem. If these seven objections and responses of the Department of Conservation were 
not considered the percentage of refusals would have increased by only 10%. This 
percentage may decrease further as more responses are received. 

Tables Ten (page 32) and Eleven (page 33) present the number of the Joint 
Committee's objections and agency responses by quarter for 1978 and 1979. Table Eleven 
presents the updated figures for 1978, while Table Ten presents the comparable figures 
for 1979. The decrease of objections issued by the Joint Committee during the last two 
quarters of 1979 may be partially explained by the changes in the rulemaking procedure 
which took effect on October 1, 1979. 

The final table is Table Twelve (page 34), which presents figures only on the review 
of emergency and peremptory rulemakings. The Joint Committee began reviewing these 
types of rulemaking in July 1979. Duirng this last half of 1979, 49 emergency and 4 
peremptory rules were reviewed. The review resulted in six objections. The only two 
responses which have been received were refusals to modify or withdraw the rulemaking. 

This statistical overview should indicate generally the extent of the Joint 
Committee's impact on the rulemaking process in Illinois. The heavy workload of the 
Joint Committee should also be clear from this overview. 



19 



TABLE TWO: STATISTICAL SUMMARY OF RULEMAKINGS BY AGENCY FOR 1979 



Code Departments 


Proposed 


Emergency 


Peremptory 


Aging 

Agriculture 

Children & Family Services 

Conservation 


1 

17 

2 

92 


1 
3 

16 




Corrections 


23 


8 




Financial Institutions 


10 


1 




Insurance 


14 






Labor 


6 






Mental Health & Developmental 
Disabilities 


13 


1 




Mines and Minerals 








Personnel 


9 


5 




Public Aid 


56 


14 


6 


Public Health 


43 


12 




Registration and Education 
Revenue 


11 

16 


3 

1 




Transportation 
Veterans' Affairs 


13 

2 


2 




Constitutional Offices 








Attorney General 
Auditor General 


1 
5 






Comptroller 
Secretary of State 
Treasurer 


2 

21 
1 


2 
2 




Legislative Agencies 








Joint Committee on Administrative 








Rules 


5 






Legislative Travel Control Board 


1 






Miscellaneous Agencies 









Banks and Trust Companies, 

Commissioner of 
Capital Development Board 
Commerce <5c Community Affairs 
Commerce Commission 
Community College Board 
Criminal Justice Information 

Council 



M. 



Miscellaneous Agencies 


Proposed 


Emergency 


Peremptory 


Dangerous Drugs Commission 


2 




Board of Elections 


1 


1 




Education, State Board of 


4 




1 


Environmental Protection Agency 


12 


3 




Fair Employment Practices 








Commission 


3 






State Fire Marshal 


2 


1 




Governor's Office of Manpower 








and Human Development 


2 


1 


1 


Governor's Purchased Care Review 








Board 


6 


4 




Guardianship and Advocacy 








Commission 




1 




Health Facilities Authority 


2 






Health Facilities Planning Board 


1 






Health Finance Authority 


1 


1 




Board of Higher Education 


3 


1 




Higher Education Travel Control 








Board 


1 






Industrial Commission 


1 






Investments, State Board of 


3 


1 




Law Enforcement Merit Board 


2 






Local Records Commission 


1 






Lottery Control Board 


2 






Medical Center Commission 


1 


1 




Institute of Natural Resources 


1 


2 




Pollution Control Board 


11 


1 


1 


Racing Board 


14 


7 




Savings and Loan Commissioner 


4 


1 




State Employees' Retirement System 


3 






State Fair Agency 


4 






Statewide Health Coordinating 








Council 


1 






Universities 









State Scholarship Commission 3 

Universities Civil Service Merit 
Board 2 



Total: 475 102 



21 



TABLE THREE: COMPARISON OF EMERGENCY AND PEREMPTORY RULEMAKINGS 

BY AGENCY FOR 1978 AND 1979 



Emergency 



Peremptory 



1978 



1979 



1978 1979 



Code Departments 



Aging 


4 


1 


Agriculture 


1 


3 


Conservation 


17 


16 


Corrections 


21 


8 


Financial Institutions 




1 


Insurance 


1 




Law Enforcement 


1 




Local Government Affairs 


1 




Mental Health & Developmental 






Disabilities 




1 


Mines and Minerals 


3 




Personnel 


9 


5 


Public Aid 


1.9 


14 


Public Health 


12 


12 


Registration & Education 


3 


3 


Revenue 




1 


Transportation 


1 


2 


Constitutional Offices 






Comptroller 




2 


Secretary of State 


3 


2 


Legislative Agencies 






Joint Committee on 






Administrative Rules 


1 




Legislative Information System 


1 




Legislative Travel Control 






Board 


1 




Miscellaneous Agencies 






Bank and Trust Companies, 






Commissioner of 




1 


Commerce and Community Affairs 




1 


Commerce Commission 


1 


1 


Criminal Justice Information 






Board 




2 


Board of Elections 


3 


1 


Education, State Board of 


2 




Environmental Protection 






Agency 


2 


3 


Fair Employment Practices 






Commission 


1 





12 



21. 



Miscellaneous Agencies Con't 



Emergency Peremptory 

1978 1979 1978 1979 



State Fire Marshal 1 

Governor's Office of Manpower 

and Human Development 2 1 

Governor's Purchased Care 

Review Board 1 4 

Guardianship and Advocacy 

Commission 1 

Health Finance Authority 1 

Board of Higher Education 1 

Investment, State Board of 1 

Law Enforcement Commission 2 

Law Enforcement Merit Board 3 

Medical Center Commission 1 

Institute of Natural Resources 1 2 

Pollution Control Board 2 1 

Prisoner Review Board 2 

Racing Board 6 7 

Savings & Loan Commissioner 1 1 

Statewide Health Coordinating 

Council 3 
Teachers Retirement System 1 
Vocational Rehabilitation 1 

Total: 133 102 



TABLE FOUR: STATISTICAL SUMMARY BY AGENCY OF STATEMENTS 
OF OBJECTION ISSUED DURING 1979 AND AGENCY RESPONSES 



Nature of Response 





Number of 












Statements of 








Response 


Code Departments 


Objection 


Withdraw 


Modify 


Refusal 


Pending 


Agriculture 


2 




1 


1 




Conservation 


7 






7 




Financial Institutions 


4 




2 


2 




Labor 


2 




2 






Mental Health and Develop- 












mental Disabilities 


2 




2 






Public Aid 


11 




6 


5 




Public Health 


10 




4 


5 


1 


Registration and Education 


4 




1 




3 


Revenue 


4 


1 


1 


2 





Other Agencies 



Commerce Commission 


4 


Community College Board 
Criminal Justice Information 


1 


Council 


1 


Education, State Board of 


2 


Environmental Protection 




Agency 
State Fire Marshal 


2 

1 


Health Facilities Authority 
Investment, State Board of 


1 

1 


Lottery Control Board 
Pollution Control Board 


2 

1 


Racing Board 


1 


Universities 





State Scholarship 

Commission 
University Civil Service Merit 

Board 



Total: 



1 
1 

65 



25 



30 



TABLE FIVE: UPDATED STATISTICAL SUMMARY BY AGENCY OF STATEMENTS OF OBJECTION 
ISSUED DURING 1978 AND AGENCY RESPONSES 



Nature of Response 





Number of 










Statements of 








Code Departments 


Objection 


Withdraw 


Modify 


Refusal 


Administrative Services 


1 




1 




Agriculture 


1 


1 






Child & Family Services 


1 






1 


Conservation 


2 


1 


1 




Corrections 


2 




2 




Insurance 


4 


1 


1 


2 


Mental Health 


3 




3 




Personnel 


1 




1 




Public Aid 


9 


2 


2 


5 


Public Health 


14 


1 


8 


5 


Registration & Education 


2 


1 


1 




Revenue 


4 


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 




3 


1 


Dangerous Drugs Commission 


1 




1 




Board of Elections 


1 




1 




Environmental Protection 










Agency 


3 


1 




2 


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 




Liquor Control Commission 


1 








Pollution Control Board 


1 








Prisoner Review Board 


1 








Racing Board 


2 




1 




State Scholarship 










Commission 


1 




1 




Vocational Rehabilitation 


1 






1 



Total: 



72 



14 



34 



24 



Updates Table Three which appeared on page 23 of the 1978 Annual Report issued by the Joint 
Committee in February 1979. At that time, 14 responses were pending. 



25 



TABLE SIX: COMPARISON OF PROPOSED RULEMAKINGS AND STATEMENTS OF OBJECTION 

BY AGENCY FOR 1978 AND 1979 

Number of Statements 
Proposed Rulemakings of Objection 

1978 1979 1978 1979 

Code Departments 



1 2 
1 

2 7 
2 

4 
4 

2 



Administrative Services 


1 





Aging 


5 


1 


Agriculture 


14 


17 


Children <5c Family Services 


2 


2 


Conservation 


76 


92 


Corrections 


82 


23 


Financial Institutions 


1 


10 


Insurance 


15 


14 


Labor 


5 


6 


Law Enforcement 


2 





Local Government Affairs 


1 





Mental Health & Developmental 






Disabilities 


8 


13 


Mines and Minerals 


4 





Personnel 


10 


9 


Public Aid 


46 


56 


Public Health 


42 


43 


Registration and Education 


11 


11 


Revenue 


11 


16 


Transportation 


13 


13 


Veterans' Affairs 


1 


2 


Constitutional Offices 






Attorney General 


3 


1 


Auditor General 


7 


5 


Comptroller 


1 


2 


Secretary of State 


15 


21 


Treasurer/Comptroller 


1 


1 


Legislative Agencies 






Joint Committee on 






Administrative Rules 


3 


5 


Legislative Information System 


1 





Legislative Travel Control 






Board 


1 


1 


House of Representatives 


1 





Miscellaneous Agencies 






Banks and Trust Companies, 






Commissioner of 





2 


Building Authority 


1 






1 




9 


11 


14 


10 


2 


4 


4 


4 


1 




1 





wi a 



Proposed Number of Statements 
Rulemakings of Objections 

1978 1979 1978 1979 

Miscellaneous Agencies Con't. 

Capital Development Board 

Commerce and Community Affairs 

Commerce Commission 17 11 4 4 

Community College Board 1 1 

Criminal Justice Information 

Council 1 2 

Dangerous Drugs Commission 14 2 1 

Board of Elections 6 1 1 



2 


1 





1 


17 


11 





1 


1 


2 


14 


2 


6 


1 


3 


4 


7 


12 


2 





2 


3 


1 


2 



Education, State Board of 4 

Environmental Protection 

Agency 7 12 3 2 

Board of Ethics 2 1 

Fair Employment Practices 

Commission 
State Fire Marshal 
Governor's Office of Manpower 

and Human Development 
Governor's Purchased Care 

Review Board 
Health Facilities Authority 
Health Facilities Planning 

Board 
Health Finance Authority 
Board of Higher Education 
Higher Education Travel Control 

Board 
Industrial Commission 
Investments, State Board of 

Law Enforcement Commission 1 1 

Law Enforcement Merit Board 2 2 2 

Liquor Control Commission 2 1 

Local Records Commission 
Lottery Control Board 
Medical Center Commission 
Institute of Natural Resources 

Pollution Control Board 18 11 1 

Prisoner Review Board 2 1 

Racing Board 10 14 2 

Savings and Loan Commissioner 
State Employees Retirement 

System 
State Fair Agency 
State's Attorneys Appellate 

Service Com m mission 1 

Statewide Health Coordinating 

Council 4 1 

Teachers Retirement System 2 

Vocational Rehabilitation 1 



27 



1 


6 


5 


2 





1 





1 





3 





1 


4 


1 





3 


1 





2 


2 


2 








1 





2 





1 





1 


18 


11 


2 





10 


14 


3 


4 


2 


3 





4 



Proposed Number of Statements 
Rulemakings of Objections 

1978 1979 1978 1979 

Universities 

State Scholarship Commission 13 11 
Universities Civil Merit 

Board 2 1 
University Retirement System 1 

Total: 507 475 72 65 



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31 



TABLE TEN: STATISTICAL SUMMARY OF STATEMENTS OF OBJECTION 
ISSUED BY QUARTER DURING 1979 



Number of 

Statements of 

Objections 



Nature of Response 



Withdraw Modify Refusal 



Responses 
Pending 



January - March 
April - June 
July - September 



18 



23 



12 



10 



12 



11 



10 



October - December 



12 



Total: 



65 



25 



30 



v? 



TABLE ELEVEN: UPDATED STATISTICAL SUMMARY OF STATEMENTS OF OBJECTION 
ISSUED BY QUARTER DURING 1978 



January - March 



Number of 

Statements of 

Objection 

14 



Nature of Response 

Withdraw Modify 

3 5 



Refusal 



April - June 



19 



8 



10 



July - September 



19 



10 



October - December 



Total: 



20 

72 



5 

14 



11 
34 



4 
24 



Updates Table Four which appeared on page 24 of the 1978 Annual Report issued by the 
Joint Committee in February 1979. At that time, 14 responses were pending. 



33 



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REVIEW OF RULEMAKING 



General Rulemaking 

During 1979, the Joint Committee has reviewed each of the 475 rulemakings 
proposed by Illinois state agencies. These proposed rulemakings differed widely in 
complexity, from simple changes in a few sentences and repeals of outdated rules to 
hundreds of pages of new complex regulations. The basic policies enunciated in the 1978 
Annual Report of the Joint Committee have continued to govern the review process 
utilized during review of proposed rulemakings. However, since October 1, 1979, when the 
amendments to the Illinois Administrative Procedure Act contained in P.A. 81-1044 
became effective, a more in-depth analysis of proposed rules in their final form has been 
possible. 

The Joint Committee continues to review rules primarily for their compliance with 
the statutory authority of the agency and the legislative intent of the authorizing statute. 
Other major issues of concern to members of the Joint Committee in the review of 
proposed rulemaking have been vague wording of rules, lack of adequate standards to 
govern agency discretion, elimination of unnecessary rules and streamlining the rules. By 
analyzing the rules in this manner, the Joint Committee attempts to insure that the rules 
fully and clearly state the agency's basic policies. In addition, an economic analysis 
stated in dollar figures may be requested. This enables the Joint Committee to review 
the economic impact of the proposed rule on the State budget and the persons affected by 
the rulemaking. 

In order to systematize the review of proposed rulemaking, the Joint Committee had 
adopted a comprehensive set of operational rules in 1978. These rules were amended in 
1979 in order to incorporate the amendments to the Illinois Administrative Procedure Act. 
These amended rules are included in this annual report as Appendix C (pages 337-378). 
Most important in these rules is Section 1.2.09, 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: 



35 



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 state 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 Administrative Procedure Act and 
responsiveness to public submissions regarding proposed 
rulemaking. 

These criteria represent the Joint Committee's interpretation of their review 
responsibilities under the Illinois Administrative Procedure Act and serve as the basis on 
which the Joint Committee reviews each proposed rulemaking and may object to the 
rulemaking. 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. 

In examining the statutory authority of an agency to promulgate a rule a recurring 
issue has been the question of whether an agency has an implicit power to make rules 
when express authority is not granted in the statute. A position paper, adopted by the 
Joint Committee, which appears as Appendix D (pages 379-387) in this report, states the 
position the Joint Committee will take toward evaluating the nature of the rulemaking 
authority delegated to agencies by statute. This paper states: 

Each agency has the authority, and in fact, the responsibility, to 
state as completely as possible its policy whenever the agency is 
delegated a task requiring some exercise of discretion by the 
agency. Such rulemaking is interpretive, meaning that the rules 



36 



present the agency's interpretation of the statutory enactment 
which it is administering. The Joint Committee believes, however, 
that such an implicit authority to prescribe interpretive rules 
should not include adding any requirements or imposing any 
additional duties on the public. Rules which do add requirements 
beyond the statute which affect the rights or privileges of the 
public will be termed legislative rules. 

This position paper should enable agencies to anticipate what types of rules the 
Joint Committee will find to exceed the rulemaking authority of the agencies. 

The review of proposed rulemaking has resulted in numerous changes in agency 
rules. Numerous necessary changes were based on suggestions of the staff. Further 
important changes in rules were made as the 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. 



Emergency and Peremptory Rulemaking 

Since July, 1979, the Joint Committee has been reviewing emergency and 
peremptory rules as they are adopted by state agencies. By the end of 1979, the Joint 
Committee had reviewed 49 emergency rules and 4 peremptory rules. With the start of 
this review process, the Joint Committee now reviews all agency rulemaking. 

Through use of the emergency and peremptory rulemaking provisions of the Illinois 
Administrative Procedure Act, an agency can adopt rules without public review or 
comment. Because of this, review of these types of rules by the Joint Committee to 
insure that these provisions are utilized only when appropriate is an important ingredient 
in legislative oversight of agency rulemaking. 

The Joint Committee has reviewed emergency and peremptory rulemakings 
primarily for their compliance with Sections 5.02 and 5.03 of the Illinois Administrative 
Procedure Act. Other considerations, such as the statutory authority of the agency, the 



37 



legislative intent of the authorizing statutes, vague wording of rules and lack of adequate 
standards, are also major issues of concern. 

In order to systematize the review of these rulemakings, the Joint Committee has 
adopted operational rules for the review of emergency and peremptory rules. These rules 
are included in this annual report on pages 347-355 of Appendix C. The basic criteria for 
review of emergency rules is stated in Operational Rules 1.3.04 and 1.3.05. Section 1.3.04 
states: 



The Joint Committee will consider the following criterion in 
reviewing emergency rulemaking: 

The extent to which the agency's explanation of the need for 
emergency rulemaking demonstrates that the emergency 
rulemaking is in compliance with Section 5.02 of the Act in that it 
describes a situation reasonably constituting a threat to the public 
interest, safety or welfare which requires adoption of a rule upon 
fewer days' notice than is required by Section 5.01 of the Act. 

Section 1.3.05 states: 



If the emergency rulemaking is determined to be in compliance 
with Section 5.02 of the Act, the Joint Committee will consider 
the following criteria in reviewing emergency rulemaking: 

1. Legal authority for the action taken in the emergency 
rulemaking. 

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

3. The extent to which the agency has explained its justification 
and rationale for not complying with the notice and hearing 
requirements of the Act. 

4. The extent to which the emergency rulemaking is limited to 
rectifying the emergency and contains no provisions not 
required to meet the emergency. 

5. The extent to which the agency has taken reasonable and 
appropriate measures to make the emergency rulemaking 
known to the persons who may be affected by it. 

6. Whether an identical emergency rulemaking, or an emergency 
rulemaking having substantially the same purpose and effect, 
has been adopted by the agency within the preceding 24 
months. 

These criteria provide the basis on which the Joint Committee reviews each emergency 



33 



rule and may object to the rulemaking. 

The key sections in the operational rules which provide the basis for review of 
peremptory rules are Sections 1.4.06 and 1.4.07. Section 1.4.06 states: 

The Joint Committee will consider the following criteria in 
reviewing peremptory rulemaking. 

1. The extent to which an agency is precluded from complying 
with the general rulemaking requirements imposed by Section 
5.01 of the Act, as that phrase is defined in Section 1.4.03(3) 
of this rule. 

2. The extent to which an agency is actually required to adopt 
rules as a direct result of federal law, federal rules and 
regulations, or court order. 

3. The extent to which the rulemaking is limited to meet only 
the requirements of the federal law, federal rules and 
regulations, or court order and contains no other rulemaking 
not required by the federal law, federal rules and regulations, 
or court order. 

4. The extent to which the agency has explained its justification 
and rationale for not complying with the general rulemaking 
requirements of the Act. 

Section 1.4.07 states: 



If the peremptory rulemaking is determined to be in compliance 
with Section 5.03 of the Act, the Joint Committee will consider 
the following criteria in reviewing the peremptory rulemaking: 



Compliance with the requirements of the act or acts upon 
which the rulemaking is based and is authorized. 



2. Anticipated economic effect of the rulemaking on the public 
and the state budget. 

3. Clarity of language of the rulemaking for understanding by 
the affected public. 

4. Sufficient completeness and clarity to ensure meaningful 
guidelines and standards in the exercise of agency discretion. 

5. Redundancies, grammatical deficiencies and technical errors 
in the rulemaking. 

6. Conflicts between the rulemaking and state law. 



39 



7. Compliance with the requirements of the relevant federal 
law, federal rules and regulations, or court order. 

The Joint Committee believes that review of these types of rulemaking will result in 
some necessary changes in agency rules. Review of emergency and peremptory rules may 
prevent the agencies from creating problems by adopting rules which are unconstitutional 
or without statutory authority. 

Review of emergency rulemaking should encourage agencies to plan to present 
proposed rulemaking to the public for comment and limit the use of emergency 
rulemaking to those situations which are emergencies as defined by the Act. The scrutiny 
of peremptory rulemaking should prevent an agency from claiming a rule is mandated by 
federal law or a court order which is only suggested as one possible solution to a problem. 
The Joint Committee hopes that by exposing possible abuses of these rulemaking 
procedures, agencies will adopt fewer rules by the use of these procedures and present 
their rules to the public for comment prior to adoption by use of the proposed rulemaking 
procedures. 

Specific Statements of Objection Issued 

During 1979, the Joint Committee issued 65 formal statements of objection to 
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. This list includes objections to emergency and peremptory rulemakings as 
well as general rulemaking. The statements of objection are presented by agency in the 
same order as Table Two (pages 20-21). 

CODE DEPARTMENTS 
Department of Agriculture 

Rules for the "Grain Dealers Act" 

Initial Publication in Illinois Register: January 5, 1979 

Joint Committee Objection: March 20, 1979 

Specific Objection: 

Proposed Rule 7.02 which states: 

All grain dealers shall be open for business for not less 
than 1/2 hour before the opening of the Chicago Board 
of Trade until 1/2 hour after the closing of the Chicago 



40 



Board of Trade, unless other business hours have been 
approved by the Department. Application for other 
business hours must be made on forms provided by the 
Department, and if approved, must be posted in each 
business office used by the dealer. 

The Joint Committee objects to this proposed Rule because it 
lacks adequate standards to govern the Department's exercise of 
discretion with regard to the Department's policy for granting 
variances in business hours. The policy of the Department in this 
area constitutes a "rule" as that term is defined in the Illinois 
Administrative Procedure Act. Under Section 4(c) of the Act, M. 
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: April 17, 1979 
Nature of Agency Response: Modified 



Regulation V - Indemnity - Pursuant to the 
Illinois Bovine Brucellosis Eradication Act 

Initial Publication in Illinois Register: June 8, 1979 

Joint Committee Objection: July 17, 1979 

Specific Objections: 

1. Proposed Regulation V(B), which provides that when State 
funds are available for paying indemnity, the Department 
shall pay a $25 indemnity for each female calf destroyed 
which was nursing a cow classified as a brucellosis reactor. 

The Joint Committee objects to this proposed amendment because 
the Department lacks statutory authority, under the Illinois 
Bovine Brucellosis Eradication Act (m. Rev. Stat. 1977, ch. 8, 
par. 134 et seq.) to make indemnity payments for non-infected 
animals. 

2. Proposed Regulation V(C), which provides that, in certain 
instances, an entire herd may be depopulated, if the owner 
agrees, and that an indemnity be paid. 

The Joint Committee objects to this proposed rule because the 
Department lacks statutory authority, under the Rlinois Bovine 
Brucellosis Eradication Act (Ql. Rev. Stat. 1977, ch. 8, par. 134 et 
seq.) to make indemnity payments for non-infected animals. 

Date Agency Response Received: August 14, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 



41 



The Joint Committee is recommending specific legislation in response 
to this rulemaking (see Recommended Bill Four, pages 171-173). 

Department of Conservation 

Article 2 - Taking of White-tailed Deer by Use of 
Bow and Arrow and Article 3 - Taking of White-tailed 
Deer by Use of Firearms 

Initial Publication in Illinois Register: March 23, 1979 

Joint Committee Objection: April 24, 1979 

Specific Objection: 

Proposed Section B.l of Article 2 and Proposed Section B.l of Article 3, 
which state, in part: 

Hunters must be an Illinois resident or out-of-state 
landowner of at least 40 acres of Illinois farm or forest 
land.... 

The Joint Committee objects to this proposed section because the 
Department does not have the statutory authority to establish 
either residency or the ownership of 40 acres of land as a 
condition of eligibility for deer permits. 

Date Agency Response Received: June 28, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The question on non-resident hunting permits involved in this 
rulemaking was addressed by Recommended Bill Four included in the 
Joint Committee's 1978 Annual Report. The bill was enacted as Public 
Act 81-387. 



Article 39, "Camping Including Fees Pertaining to 
Public Use of Department of Conservation Properties 

Initial Publication in Illinois Register: April 6, 1979 

Joint Committee Objection: April 24, 1979 

Specific Objection: 

Proposed Section G2c(3) which states, 

Illinois residents who are blind or disabled may camp 
without a fee. 

The Joint Committee objects to this proposed Section because the 
Department does not have the authority to limit non-fee camping 
only to blind or disabled persons who are residents of Illinois. 
Section 63a23, states that "no fee authorized by this section shall 
be charged.. . any person who is blind or disabled." (Emphasis 



42 



added.) 
Date Agency Response Received: July 24, 1979 
Nature of Agency Response: Refusal To Modify or Withdraw 

Article 143, Hunting, Fishing, Trapping and 
Boating at the Clinton Lake Recreation Area 

Initial Publication in Illinois Register: May 4, 1979 

Joint Committee Objection: May 29, 1979 

Specific Objection: 

Proposed Section C.2.d which states, in part: 

To be eligible for the daily draw [for a blind site] an 
individual must be 16 years of age or older. 

The Joint Committee objects to this proposed section because the 
Department lacks the statutory authority to impose the 
restriction that an individual must be 16 years of age or older to 
be eligible for the drawing for blind sites. 

Date Agency Response Received: July 6, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The Joint Committee is recommending specific legislation in response 
to this rulemaking (see Recommended Bill Five, pages 175-176). 

Article 148 - Waterfowl Hunting at Collins Lake 

Initial Publication in Illinois Register: May 25, 1979 

Joint Committee Objection: June 18, 1979 

Specific Objection: 

Proposed Section B.2.d.l which states, in part: 

To be eligible for the daily drawing [ for a blind 
site] an individual must be 16 years of age or 
older. 

The Joint Committee objects to this proposed section because the 
Department lacks the statutory authority to impose the 
restriction that an individual must be 16 years of age or older to 
be eligible for the drawing for blind sites. 

Date Agency Response Received: July 6, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 



43 



The Joint Committee is recommending specific legislation in response 
to this rulemaking (see Recommended Bill Five, pages 175-176). 



Article 44, Hunting at Kankakee River State Park; 

Article 55, Hunting at the Pes Plaines Conservation Area; 

Articles 65-A, 65-B, 65-C, and 65-D, Hunting at Mississippi River Pools; 

Article 75, Hunting at Sangchris Lake State Park; 

Article 81, Hunting at Lake De Pue Conservation Area; 

Article 84, Hunting at Horseshoe Lake State Park; 

Article 93, Hunting at Anderson Lake Conservation Area; 

Article 111, Hunting at Chain O'Lakes State Park; 

Article 119, Hunting at Marshall County Conservation Area, 

Article 124, Hunting at Rice Lake Conservation Area; 

Article 129, Hunting at Stephen A. Forbes State Park; 

Article 130, Hunting at Woodford County Conservation Area; and 

Article 141, Hunting at Lake Sinnissippi 

Initial Publication in Illinois Register: June 15, 22 or 29, 1979 

Joint Committee Objection: July 17, 1979 

Specific Objections: 

1. Proposed Article 44, Section C.3; Proposed Article 55, Section 
B.2.c; Proposed Article 65-A, Section H.2.b; Proposed Article 65-B, 
Section D.l.c; Proposed Article 65-C, Sections D.l.b, D.2.b, and 
D.2.d; Proposed Article 65-D, Sections D.4 and D.8; Proposed 
Article 75, Section C.3.a; Proposed Article 81, Section B.2.c; 
Proposed Article 111, Section B.2.c; Proposed Article 119, Section 
B.3.c; Proposed Article 124, Section B.4; Proposed Article 129, 
Section B.5.f; Proposed Article 130, Section B.3.c; and Proposed 
Article 141, Section E.2.b which require that an individual be at 
least 16 years of age to enter the drawing for a blind site. 

The Joint Committee objects to these proposed sections because the 
Department lacks the statutory authority to prohibit individuals under 16 
years of age from entering the drawing for blind sites. 

2. Proposed Article 44, Section D.12; Proposed Article 55, Section 
B.3.f; Proposed Article 65-A, Section D.3; Proposed Article 65-B, 
Section G.3; Proposed Article 65-C, Section G.3; Proposed Article 
65-D, Sections H.3 and 1.4; Proposed Article 81; Proposed Article 
84, Section E.7; Proposed Article 93, Section B.4.c; Proposed 
Article 111, Section B.3.f; Proposed Article 119, Section B.6.b; 
Proposed Article 130, Section B.5.f; and Proposed Article 141, 
Section D.3 which prohibit individuals under 16 years of age from 
hunting unless accompanied by an adult. 

The Joint Committee objects to these proposed sections because the 
Department lacks the statutory authority to prohibit individuals under 16 
years of age from hunting unless accompanied by an adult. 

Date Agency Response Received: July 31, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 



44 



The Joint Committee is recommending specific legislation in response to this 



rulemaking (see Recommended Bill Five, pages 175-176). 



Article 12, The Operation of Public Hunting Areas Either Owned or Leased by 

the Department of Conservation and Operated Under a Daily Permit System; 
Article 50, Hunting, Trapping, Fishing and Boating at Baldwin Lake Fish and Wildlife 



Article 52, Hunting, Fishing and Other Management Procedure at Rend Lake; 

Article 54, Hunting at Lee Coun ty (G reen River) Conservation AreaJ 

Article 58, Hunting at Oakwood Bottoms Green Tree Reservoir; 

Article 59, Hunting at Larue Scatters; 

Article 60, Hunting, Trapping and Boating and Lake Shelbyville; 

Article 98, Hunting and Other Management Procedures on the Horseshoe Lake 

Conservation Area (Alexander County); 
Article 104, Hunting, Trapping and Fishing at the Sangano's Conservation Area; 
Article 128, Hunting, Fishing and Trapping at Spring Lake Conservation Area 



Initial Publication in Illinois Register: July 6 or 27, 1979 
Joint Committee Objection: August 14, 1979 
Specific Objections: 



1. Proposed Article 12, Section C(9); proposed Article 50; proposed 
Article 2, Section B(l)(k); proposed Article 54; proposed Article 58; 
proposed Article 59; proposed Article 60; and proposed Article 98 
which prohibit individuals under 16 years of age from hunting unless 
accompanied by an adult. 

The Joint Committee objects to these proposed rules because the 
Department lacks the statutory authority to prohibit individuals under 16 
years of age from hunting unless accompanied by an adult. 

2. Proposed Article 104, Section C(3) and proposed Article 128, 
Section B(3)(c) which require that an individual be at least 16 years 
of age to enter the drawing for a blind site. 

The Joint Committee objects to these proposed sections because the 
Department lacks the statutory authority to prohibit individuals under 16 
years of age from entering the drawing for blind sites. 

Date Agency Response Received: August 22, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The Joint Committee is recommending specific legislation in response to this 
rulemaking (see Recommended Bill Five, pages 175-176). 



Article 33 - William W. Powers Conservation Area; 
Article 153 - Waterfowl Hunting at Pekin Lake 
Conservation Area 



45 



Initial Publication in Illinois Register: August 24, 1979 
Joint Committee Objection: September 18, 1979 
Specific Objections: 

1. Proposed Article 33, Section D5 and Proposed Article 153, Section 
E6, which prohibit individuals under 16 years of age from hunting 
unless accompanied by an adult. 

The Joint Committee objects to these proposed sections because the 
Department lacks the statutory authority to prohibit individuals under 16 
years of age from hunting unless accompanied by an adult. 

2. Proposed Article 33, Section C3 and proposed Article 153, Section 
C3, which require that an individual must be at least 16 years of 
age to be eligible to enter the drawing for blind sites. 

The Joint Committee objects to these proposed sections because the 
Department lacks the statutory authority to prohibit individuals under 16 
years of age from entering the drawing for blind sites. 

Date Agency Response Received: October 3, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The Joint Committee is recommending specific legislation in response 
to this rulemaking (see Recommended Bill Five, pages 175-176). 

Department of Financial Institutions 

Section 20 of the Rules Governing the Execution 
and Enforcement of the Illinois Consumer Finance 
Act 

Initial Publication in Illinois Register: March 16, 1979 

Joint Committee Objection: April 24, 1979 

Specific Objections: 

1. Section 20, first full paragraph of the proposed rule, which provides 
that " [ n] o other business may be conducted in the licensed 
Consumer Finance Office not authorized in writing by the Director 
pursuant to Section 12 of the Consumer Finance Act." 

The Joint Committee objects to this proposed rule because it lacks 
adequate standards to govern the Director's exercise of discretion with 
regard to authorization of other business. The policy of the Director 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 



46 



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." 

2. Proposed Section 20(i)(4) which provides that present borrowers or 
obligors of a parent, subsidiary or affiliate of a licensee may be 
solicited for "loans-by-mail" only with specific authorization from 
the Director. 

The Joint Committee objects to this proposed rule because it lacks 
adequate standards to govern the Director's exercise of discretion with 
regard to authorization to solicit present borrowers or obligors of a 
parent, subsidiary or affiliate of a licensee. The policy of the Director 
in this area constitutes a "rule" as that term is defined in the Illinois 
Administrative Procedure Act. Under Section 4(c) of the Act, HI. 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: July 12, 1979 

Nature of Agency Response: Modified 

Section 20 of the Rules Governing the Execution 
and Enforcement of the Illinois Consumer Installment 



Loan Act 



Initial Publication in Illinois Register: March 16, 1979 

Joint Committee Objection: April 24, 1979 

Specific Objections: 

1. Section 20, first full paragraph of the proposed rule, which provides 
that "[n]o other business may be conducted in the licensed 
Consumer Finance Office not authorized in writing by the Director 
pursuant to Section 12 of the Consumer Finance Act." 

The Joint Committee objects to this proposed rule because it lacks 
adequate standards to govern the Director's exercise of discretion with 
regard to authorization of other business. The policy of the Director 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." 



47 



2. Proposed Section 20(0(4) which provides that present borrowers or 
obligors of a parent, subsidiary or affiliate of a licensee may be 
solicited for "loans-by-mail" only with specific authorization from 
the Director. 

The Joint Committee objects to this proposed rule because it lacks 
adequate standards to govern the Director's exercise of discretion with 
regard to authorization to solicit present borrowers or obligors of a 
parent, subsidiary or affiliate of a licensee. The policy of the Director 
in this area constitutes a "rule" as that term is defined in the Illinois 
Administrative Procedure Act. Under Section 4(c) of the Act, El. 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: July 12, 1979 

Nature of Agency Response: Modified 

Currency Exchange Division Rules 

Initial Publication in Illinois Register: March 16, 1979 

Joint Committee Objection: April 24, 1979 

Specific Objection: 

Proposed Rule 6(d)(1), which provides that no licensee 
may issue or sell any money order in an amount in 
excess of $750, with certain exceptions. 

The Joint Committee objects to this proposed rule because under the 
Illinois Currency Exchange Act, 111. Rev. Stat. 1977, ch. 16 1/2, par. 30 et 
seq., the Department has no authority to prohibit the issuance of money 
orders in excess of $750. 

Date Agency Response Received: June 18, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The Joint Committee is recommending specific legislation in response to this 
rulemaking (see Recommended Bill Six, pages 177-181). 

Division of Financial Planning and 
Management Service Rules 



Initial Publication in Illinois Register: March 23, 1979 
Joint Committee Objection: April 24, 1979 



48 



Specific Objections: 

1. Section IB5(A)(4) of the proposed rules, which provide that, where 
legal action is taken to collect an unpaid fee, the fees of a salaried 
attorney shall not be included. 

The Joint Committee objects to this proposd rule because, under the 
Financial Planning and Management Service Act, 111. Rev. Stat. 1977, ch. 
16 1/2, par. 251 et seq., the Department has no statutory authority to 
limit or restrict attorney's fees. 

2. Section 7G of the proposed rules, which provide that, when it is 
necessary to advance funds for a debtor, the licensee shall in no 
case advance funds beyond the amount of one periodic payment 
required of the debtor without the express consent of the 
Department. 

The Joint Committee objects to this proposed rule because it lacks 
adequate standards to govern the Department's exercise of discretion 
with regard to the granting of consent to advance funds. The policy of 
the Department in this area constitutes a "rule" as that term is defined 
in the Illinois Administrative Procedure 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," 

3. Section 12 of the proposed rules, which authorizes the Director to 
suspend violators. 

The Joint Committee objects to this proposed rule because, under the 
Financial Planning and Management Service Act, the Director lacks 
statutory authority to suspend the license of a licensee. 

4. Sections 10 and 11 of the proposed rules, which provide for a charge 
of fees by the Department for conducting examinations and 
investigations and for registering a change of business address of a 
licensee. 

The Joint Committee objects to this proposed rule because, under the 
Financial Planning and Management Service Act, the Department has no 
statutory authority to impose the fees required by those sections of the 
proposed rule. 

Date Agency Response Received: June 25, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The Joint Committee is recommending specific legislation in response to this 
rulemaking (see Recommended Bill Seven, pages 183-185). 



49 



Department of Labor 

Rules Relating to the Administration and 
Enforcement of the Illinois Child Labor Law 

Initial Publication in Illinois Register: March 9, 1979 

Joint Committee Objection: April 26, 1979 

Specific Objections: 

1. Proposed Section 29, which states, in part, n [s]ince time in 
attendance at school is included in hours of work, no minor may 
work both Sunday and Saturday of a week in which school is in 
session for five days." 

The Joint Committee objects to the Department's prohibition of 
work on Sunday and Saturday of a week in which school is in session 
for five days because it exceeds the Department's statutory 
authority and is in violation of Section 3 of the Child Labor Law 
(111. Rev. Stat. 1977, ch. 48, par. 31.1 et seq.). 

2. Proposed Section 31, which provides that a physical examination 
procured either for entrance into ninth grade, participation in 
athletics, or admission into summer camp may be substituted for 
the public health or public school physician statement of physical 
fitness required by Section 12(4) of the Child Labor Law. 

The Joint Committee objects to this proposed section because it is 
in violation of Section 12(4) of the Child Labor Law which requires 
a statement of physical fitness certifying that the minor is 
physically fit to be employed in all legal occupations. 

3. Proposed Section 14, which states, in part: "Notwithstanding the 
omission of construction work from Section 7 of the Act, the 
inclusion of said gainful occupation in Section 1 of the Act shall be 
construed as being a hazardous occupation prohibited to minors." 

The Joint Committee objects to proposed Section 14 because the 
Department has no statutory authority to prohibit the employment 
of minors in construction work unless the work involved is 
prohibited under the provisions of Section 7 of the Act, "Hazardous 
occupations." 

Date Agency Response Received: May 23, 1979 

Nature of Agency Response: Modified 

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

Repeal of Rule 2 and Amendment to Rule 8 
of the Rules and Regulations Relating to 



^n 



the Operation of Private Employment Agencies 

Initial Publication in Illinois Register: March 23, 1979 

Joint Committee Objection: April 26, 1979 

Specific Objection: 

1. Proposed Amendment (J) to Rule 8, which states that 
documentation of an annual physical examination shall include 
"[t]he statement that the domestic referral named therein was 
'found free of communicable disease and otherwise physically and 
emotionally fit to serve as a domestic employee' ." 

The Joint Committee objects to this proposed rule because the 
Department has no statutory authority to require such a finding. 
Section 9.1 of an Act to revise the law in relation to private 
employment agencies and to repeal an Act therein named (HI. Rev. 
Stat. 1977, ch. Ill, par. 901 et seq.) provides for physical 
examinations only to safeguard the health of employers and their 
families from communicable diseases. 

Date Agency Response Received: May 22, 1979 

Nature of Agency Response: Modified 

Department of Mental Health and Developmental Disabilities 

Rule 100.20-1 - Service Recipients Activity Fund in 
Department Facilities 

Initial Publication in Illinois Register: March 3, 1979 

Joint Committee Objection: March 20, 1979 

Specific Objection: 

Section C(l) of the proposed Rule which states: 

In order that expenditures from the Service Recipients 
Activity Fund equitably benefit recipients of services 
of the facility, the Facility Director may establish a 
Service Recipients Activity Committee to be 
responsible for planning and advising the Facility 
Director on expenditures from this fund. 

The Joint Committee objects to this proposed Section because it lacks 
adequate standards to govern a facility's determination of whether or not 
such a Service Recipients Activity Fund should be established. The 
policy of the Department 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), "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." 

Date Agency Response Received: April 17, 1979 

Nature of Agency Response: Modified 

Rule 132.51, "State Purchasing Rules and Regulations" 



Initial Publication in Illinois Register: June 22, 1979 
Joint Committee Objection: July 17, 1979 
Specific Objections: 

1. Section 2(a) of proposed Rule 132.51 and Section 5 of Rule 132.52, 
which provide that the Department reserves the right to reject any 
and all bids, offers or proposals received by it with respect to any 
invitation to bid or request for proposal. 

The Joint Committee objects to this proposed rule because it lacks 
adequate standards to govern the Department's exercise of discretion 
with regard to acceptance or rejection of bids. The policy of the 
Department in this area constitutes a "rule" as that term is defined in 
the Illinois Administrative Procedure Act. Under Section 4(c) of the 
Act, El. 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." 

2. Section 5 of the Illinois Purchasing Act requires that the proposed 
rule be approved by the Department of Administrative Services. 
None of the proposed amendments have been approved by that 
Department. 

The Joint Committee objects to these proposed amendments because 
their promulgation without having been approved by the Department of 
Administrative Services is in violation of Section 5 of the Illinois 
Purchasing Act (111. Rev. Stat. 1977, ch. 127, par. 132.5). 

3. The proposed rulemaking is incomplete, in that it does not contain 
provisions required by statute. 

The Joint Committee objects to these proposed rules because they do not 
contain all of the provisions required by Section 6 of the Illinois 
Purchasing Act. (111. Rev. Stat. 1977, ch. 127, par. 132.6 et seq.) 

Date Agency Response Received: October 22, 1979 

Nature of Agency Response: Modified 



Department of Public Aid 

Rule 5.03, Requirements for Service Providers Desiring to 
Participate in FY 80 Title XX Donated Funds Initiative 

Initial Publication in Illinois Register: December 1, 1978 

Joint Committee Objection: January 31, 1979 

Specific Objections: 

1. Section 5.03.1 which states, in part: "On January 15, 1979, the 
Department of Public Aid will distribute a standardized Request 
for Proposals (RFP) to interested social service agencies in the 
State." 

2. Section 5.03.5 which states, in part: "On or before May 1, 1979, the 
Department will inform the Allied Agency in writing of those 
proposals that have been approved for funding by the Department." 

The Joint Committee objects to these proposed sections because 
they refer to policies which are not included in the Department's 
rules. The RFP referred to in Section 5.03.1 contains statements 
which constitute "rules" as that term is defined in Section 3.09 of 
the Illinois Administrative Procedure Act, e.g. Sections I.D.2., 
Review Criteria , and I.F.2., Purchase of Service Agreements , and 
Section I.F.3., which requires Department approval of the POSA 
format. Under Section 4(c) of the IAPA, "[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: March 15, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

Rule 4.22 - Definitions 

Initial Publication in Illinois Register: December 29, 1978 

Joint Committee Objection: January 31, 1979 

Specific Objections: 

Section 4.22.3 which states, in part: 

The Department may deny payment for goods or 
services rendered or ordered by a person who is barred 
as described in subparagraphs (a), (c) or (d). The 
Department may also deny payment for goods or 
services rendered by vendors who are employees of a 
person or entity described in subparagraph (b). 



The Joint Committee objects to this proposed section because it 
does not contain the Department's entire policy on the denial of 
payment to medical vendors. 

Section 12-4.25(A) of the Public Aid Code, ni. Rev. Stat. 1977, ch. 
23, par. 4-25(A), states the Department may deny, suspend or 
terminate eligibility for the Medical Vendor Program only after 
giving "reasonable notice and opportunity for a hearing." Though 
the Department's actual policy is to notify any vendor before 
action is taken to deny payment, this is not included in the 
proposed rule. This policy falls within the definition of "rule" as 
defined in Section 3.09 of the Illinois Administrative Procedure 
Act, El. Rev. Stat. 1977, ch. 127, par. 1003.09. Under Section 4(c) 
of the Act " [ 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: March 14, 1979 

Nature of Agency Response: Modified 



Rule 4.144. D, Group Care Services 

Initial Publication in Illinois Register: January 12, 1979 

Joint Committee Objection: February 21, 1979 

Specific Objection: 

1. Proposed Rule 4.144. D which states, in part: 

"The Department shall reimburse for support costs at 
actual costs up to the 50th percentile of all SNF and 
ICF facilities in the health service area (HSA)..." 

The Joint Committee objects to this proposed rule 
because the Department's policy constitutes a "rule" as 
that term is defined in the Illinois Administratie 
Procedure Act, and the Department's failure to include 
its policy in the proposed rule violates Section 4(c) of 
the Illinois Administrative Procedure Act, 111. Rev. 
Stat. 1977, ch. 127, par. 1004(c). 

Date Agency Response Received: April 16, 1979 

Nature of Agency Response: Modified 

Rule 4.141 Determination of Need for 
Group Care: Amendment 

Initial Publication in Illinois Register: February 16, 1979 



Joint Committee Objection: March 20, 1979 

Specific Objection: 

Proposed Rule 4.141 which reads, in part: "The prior approval of the 
Department or its designee is required before payments will be 
authorized for a recipient admitted to a group care facility." 

The Joint Committee objects to this proposed rule because it lacks 
adequate standards to govern the Department's exercise of discretion 
with regard to the granting of prior approval. The policy of the 
Department in this area constitutes a "rule" as that term is defined in 
the Illinois Administrative Procedure 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: April 16, 1979 

Nature of Agency Response: Modified 

Rule 4.04 - Optical Services and Supplies: 
Amendments 

Initial Publication in Illinois Register: February 23, 1979 

Joint Committee Objection: March 20, 1979 

Specific Objections: 

1. Part (a) of proposed Section on Services Not Covered which states, 
in part: 

Eye care services and supplies for which payment shall 
not be made include: 

a) screening services. 

The Joint Committee objects to this proposed section 
because it does not reflect the Department's actual 
policy which is to pay for a screening which determines 
that an individual requires eye care. This policy 
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 
by the agency for public inspection and filed with the 
Secretary of State as required by this Act." 



2. Proposed Section on Limitations which states, in part: "One 
refraction per year is allowed, except in unusual circumstances. 

The Joint Committee objects to this proposed section because it 
lacks adequate standards to govern the Department's exercise of 
discretion with regard to when an individual would be allowed more 
than one refraction per year. The policy of the Department in this 
area constitutes a "rule" as that term is defined in the Illinois 
Administrative Procedure Act. Under Section 4(c) of the Act, HI. 
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." 

3. Proposed Section on Payment which states: "Payment for services 
and supplies shall be at the provider's usual and customary charge 
not to exceed the maximum established by the Department." 

The Joint Committee objects to this proposed section because it 
lacks adequate standards to govern the Department's exercise of 
discretion with regard to the maximum rates the Department will 
pay for eye care services and supplies. The policy of the 
Department in this area constitutes a "rule" as that term is defined 
in the Illinois Administrative Procedure Act. Under Section 4(c) of 
the Act, m. 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: June 11, 1979 

Nature of Agency Response: Modified 



Rule 4.11, Home Health Services, 
Amendment 

Initial Publication in Illinois Register: February 23, 1979 

Joint Committee Objection: March 20, 1979 

Specific Objections: 

1. Proposed Section on Covered Services which states, in part: "When 
home health care is required on an extended basis, payment shall 
not be made if the total cost [of home health care] exceeds the 
cost of alternate care in a group care facility." 



The Joint Committee objects to this proposed section because it 
directly conflicts with Department Rule 3.09 which states that 
when the cost of in-home care exceeds the cost of 
institutionalization, the client must pay the difference. Therefore, 
this Proposed Section does not necessarily indicate what the 
Department policy will be when an individual requires home health 
care on an extended basis. 

2. Proposed Section on Covered Services which states, in part: 
"Home health services may be provided to recipients in their places 
of residence when required because of illness, disability or 
infirmity and when provided in accordance with a plan established 
by a physician and reviewed by the physician at least every 60 
days. 

The Joint Committee objects to this proposed section because it 
lacks adequate standards to govern the Department's exercise of 
discretion with regard to the provision of home health care. The 
policy of the Department 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." 

3. Proposed Section on Limitations which requires the prior approval 
of the Department before payment will be authorized for the 
provision of home health care by home health agencies, self- 
employed nurses, or therapists. 

The Joint Committee objects to this proposed section because it 
lacks adequate standards to govern the Department's exercise of 
discretion with regard to the granting or prior approval of home 
health care. The policy of the Department in this area constitutes 
a "rule" as that term is defined in the Illinois Administrative 
Procedure Act. Under Section 4(c) of the Act, m. 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." 

4. Proposed Section on Payment which states, in part: "Payment to 
independent therapists and community health agencies is made at 
the rate approved by the Department at the time prior approval is 
given." 

The Joint Committee objects to this proposed section because it 
lacks adequate standards to govern the 



A 



Department's exercise of discretion with regard to the rate at 
which therapists and community health agencies will be paid. The 
policy of the Department 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: June 15, 1979 

Nature of Agency Response: Refusal to Modify or Withdraw 

Rules 4.01 - 4.018 

Initial Publication in Illinois Register: March 30, 1979 

Joint Committee Objection: April 24, 1979 

Specific Objection: 

Proposed rules 4.01 - 4.018, which set forth the 
Department's general policies with regard to vendor 
participation in the Medical Assistance program. 

The Joint Committee objects to these proposed rules 
because Section 12-4.25 of the Public Aid Code, 111. 
Rev. Stat. 1977, ch. 23, par. 12-4.25, mandates the 
Department to develop provider agreements ith each 
vendor category, and the Department has not as yet 
developed such an agreement with one category of 
vendor, physicians. By attempting to regulate the 
participation of physicians in the Medical Assistance 
program without a provider agreement, the Department 
is in violation of the express legislative intent of 
Section 12-4.25. 

Date Agency Response Received: May 24, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills One and 
Two, pages 207-226). 

Rule 3.28 - Lack of Parental Support 
or Care 

Initial Publication in Illinois Register: April 13, 1979 

Joint Committee Objection: May 29, 1979 

Specific Objection: 



58 



Proposed Section 3.28.4 which states, in part: 

Unemployment of the father is the basis of a child's 
eligibility for AFDC-U. 

The Joint Committee objects to this proposed section because it violates 
Section 4-1.3 of the Public Aid Code, III. Rev. Stat. 1977, ch. 23, par. 4- 
1.3, which states that a child is eligible for AFDC because of the 
"unemployment, total or partial, of the parent or parents ." 

Date Agency Response Received: July 11, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The federal rules on which the Department's rule was based have been found 
unconstitutional after the Department refused to modify this rulemaking. The 
Department will now initiate rulemaking to remedy this objection. 

Rule 3.09, In-Home-Care Supportive 
Services Program 

Initial Publication in Illinois Register: May 25, 1979 

Joint Committee Objection: June 18, 1979 

Specific Objection: 

Proposed Section 3.09.11 which states, in part: 

The rate for reimbursement for homemaker services 
shall be individually negotiated with each Homemaker 
agency with whom the Department contracts. If Chore 
and Housekeeping services are provided by an agency 
with whom the Department contracts, the rate of 
reimbursement shall be individually negotiated. 

The Joint Committee objects to proposed Section 3.09.11 because it does 
not reflect the Department's actual policy. 

The Department's policy is to request proposals from agencies which 
desire to provide services to the Department's clients. These requests 
(RFP's) inform agencies of the requirements and conditions of 
participation in the program. This Department policy 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." 



m 



Date Agency Response Received: July 11, 1979 
Nature of Agency Response: Modified 



Rule 3.51, Assistance Standards: 
Income Maintenance 

Initial Publication in Illinois Register: June 1, 1979 

Joint Committee Objection: June 18, 1979 

Specific Objections: 

1. Proposed Rule 3.51, AABD and GA Adult Cases 1, which allows for 
a one cent difference between household allowances for active 
recipients and bedfast recipients when either "3 through 7" or "8 or 
more" persons eat together in the assistance unit. 

The Joint Committee objects to this proposed section because it is 
arbitrary and unreasonable. 

2. Proposed Rule 3.51 AABD and GA Adult Cases I.A., which states, in 
part: 

Approval of an allowance in a different amount or 
when only a partial food allowance is authorized, 
or for a non-standard diet requires approval of the 
Department. 

The Joint Committee objects to this proposed rule because it lacks 
adequate standards to govern the Department's exercise of discretion 
with regard to its policy for the approval of a different or partial food 
allowance, or for a non-standard diet. The policy of the Department 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: July 23, 1979 

Nature of Agency Response: Modified 

Rules 3.51, Assistance Standards: Income Maintenance; 
3.711 MANG (AABDD): Income Standard; 

3.712, MANG(C): Income Standard; 

3.713, Exceptions to the Use of the MANG Income Standard; 



Initial Publication in Illinois Register: September 21, 1979 



M. 



Joint Committee Objection: October 23, 1979 

Specific Objection: 

Proposed Rules 3.51, 3.711, 3.712, 3.713 and 3.715, which implement 
the 5% increase in the Financial Assistance Standard for AFDC, 
AABD and GA and the Medical Assistance Standards. 

The Joint Committee objects to these proposed rules because the 
Department failed to notify or consult with the Legislative Advisory 
Committee regarding the proposed deviations in the amount of grants to 
recipients of public aid as required by HI. Rev. Stat. 1977, ch. 23, par. 
12-14. 

Date Agency Response Received: November 2, 1979 

Nature of Agency Response: Refusal to Modify or Withdraw 

The Joint Committee has urged action by the Legislative Advisory Committee, 
the Committee to Rewrite the Public Aid Code and the General Assembly in 
response to this rulemaking. 

Department of Public Health 

Chapter No. 4 - Third Edition, Rules for 
Processing an Application for Permit and 
Validity of Permits 

Initial Publication in Illinois Register: December 29, 1978 

Joint Committee Objection: January 31, 1979 

Specific Objection: 

Section 4. 03. B. 01 of the proposed rule, which states, in part: 

When an application for permit is received by the 
Agency, the Executive Secretary of the State Board 
shall classify the project. ..as being: 

(A) reviewable 

(B) non-reviewable; or 

(C) emergency. 

The Joint Committee objects to this proposed section because it is 
beyond the Department's statutory authority to classify health care 
facility projects. Section 8 of the Illinois Health Facilities Planning Act, 
m. Rev. Stat. 1977, ch. Ill 1/2, par. 1158, establishes a statutorily defined 
permit review process. Nothing in the Act authorizes the Board to 
classify a health care facility project as non-reviewable or emergency, 
and therefore exempt from the application and review process. 

Date Agency Response Received: April 3, 1979 



61 



Nature of Agency Response: Refusal to Modify or Withdraw 

This objection has been remedied by the provision of appropriate authority in 
Public Act 81-149 subsequent to the review of this rulemaking. 

Chapter 11 - Second Edition; Financial and 
Economic Feasibility Review and Evaluation 
Plan 

Initial Pubication in Illinois Register: February 23, 1979 

Joint Committee Objection: March 20, 1979 

Specific Objections: 

Proposed Rule 11.03.02(A) which states, in part: 

All applications having a total estimated project cost 
greater than the lesser of $2,000,000 or 10 percent of 
the annual operating revenue of the hospital.. .shall be 
classified "reviewable" under this Chapter. 

Proposed Rule 11.03.02(B) which states, in part: 

All applications classified reviewable under other rules 
of the State Board and having a total estimated project 
cost greater than the lesser of $500,000 or 5 percent of 
the annual operating revenue of the hospital.. .shall be 
classified "reviewable" under this chapter. 

The Joint Committee objects to these proposed rules because it is 
beyond the Department's statutory authority to classify health care 
facility projects as reviewable or non-reviewable. Section 8 of the 
Illinois Health Facilities Planning Act, HI. Rev. Stat. 1977, ch. Ill 1/2, 
par. 1158, establishes a statutorily defined permit review process. 
Nothing in the Act authorizes the Department to classify a health care 
facility project as non-reviewable, and therefore exempt from the 
review process. 

Date Agency Response Received: May 4, 1979 

Nature of Agency Response: Refusal to Modify or Withdraw 

This objection has been remedied by the provision of appropriate authority in 
Public Act 81-149 subsequent to the review of this rulemaking. 

Chapter 3B - Third Edition; The Long-Term 
Care and Chronic Disease Facilities Plan 

Initial Publication in Illinois Register: March 23, 1979 

Joint Committee Objection: April 26, 1979 



Specific Objection: 

Section 3B.04.C.01 of the proposed rule, which states, in part: 

When an application for permit has been received by 
the agency, the executive secretary shall classify the 
project into one of the following classifications: 

(A) reviewable classification... 

(B) emergency classification... 

(C) non-reviewable classification.... 

The Joint Committee objects to this proposed section because it is 
beyond the Department's statutory authority to classify health care 
facility projects as reviewable, emergency or non-reviewable. Section 8 
of the Illinois Health Facilities Planning Act, 111. Rev. Stat. 1977, ch. Ul 
1/2, par. 1158, establishes a statutorily defined review process. Nothing 
in the Act authorizes the Department to classify a health care facility 
project as emergency or non-reviewable, and therefore exempt from the 
review process. 

Date Agency Response Received: May 25, 1979 

Nature of Agency Response: Refusal to Modify or Withdraw 

Rules for Illinois Department of Public 
Health Hemophilia Program 

Initial Publication in Illinois Register: April 6, 1979 

Joint Committee Objection: April 26, 1979 

Specific Objections: 

1. Section 3.01 of the proposed rule, which states, in part: 

To demonstrate that he meets the financial requirements as 
prescribed in the Statute, the patient must submit an annual 
application.... 

The Joint Committee objects to this proposed section because it is in 
conflict with Section 3(3) of an Act establishing in the Illinois 
Department of Public Health a program for the care of persons suffering 
from hemophilia, establishing a Hemophilia Advisory Committee and 
designating powers and duties in relation thereto (111. Rev. Stat. 1977, 
ch. Ill 1/2, par. 2901 et seq.) Section 3(3) of the Act states that the 
amount of financial assistance granted by the Department is dependent 
upon the financial condition 



63 



of the family of the hemophiliac patient, whereas Section 3.01 of the 
proposed rule implies that the amount of financial assistance granted by 
the Department is dependent upon the financial condition of the 
hemophiliac patient. 

2. Section 3.02 of the proposed rule, which states, in part: 

A patient, who has received a letter from the 
Department requiring a participation charge, and who 
feels the charge will cause an unusual financial hardship 
on himself and his family, may write to the Director of 
the Department requesting a reevaluation of his current 
financial situation. 

The Joint Committee objects to this proposed section because it is in 
violation of Section 3(3) of an Act establishing in the Illinois Department 
of Public Health a program for the care of persons suffering from 
hemophilia, establishing a Hemophilia Advisory Committee and 
designating powers and duties in relation thereto (111. Rev. Stat. 1977, 
ch. Ill 1/2, par. 2901 et seq.) While Section 3.02 of the proposed rule 
leaves the Director broad discretion in the review of financial hardship 
cases, Section 3(3) of the Act states that " [ t] he Director may extend 
financial assistance in cases of unusual hardships, according to specific 
procedures and conditions adopted for this purpose in the rules and 
regulations promulgated by the Department to implement and administer 
this Act." (Emphasis added.) 

Date Agency Response Received: May 15, 1979 

Nature of Agency Response: Modified 



Minimum Standards, Rules and Regulations for 
the Licensure of Long-Term Care Facilities 

Initial Publication in Illinois Register: April 13, 1979 

Joint Committee Objection: May 29, 1979 

Specific Objection: 

Proposed Rule 01.14.02.00, which states: 

The alcoholism treatment program in a long-term care 
facility must meet the Rules and Regulations for 
Alcoholism and Detoxication [sic] Treatment 
Programs, as promulgated by the Illinois Department of 
Public Health under the Alcoholism Treatment 
Licensing Act. 

The Joint Committee objects to this proposed rule because if the Rules 
and Regulations for Alcoholism and Intoxication 



id 



Treatment Programs are adopted in toto, they would be unenforceable 
against facilities licensed under the "Nursing homes, sheltered care 
homes, and homes for the aged Act," m. Rev. Stat. 1977, ch. Ill 1/2, par. 
35.16 et seq. 

Date Agency Response Received: August 21, 1979 

Nature of Agency Response: Modified 



Chapter No. 3 - 4th Edition: The 
Illinois Health Care Facilities Plan 

Initial Publication in Illinois Register: May 4, 1979 

Joint Committee Objection: May 29, 1979 
Specific Objection: 

Proposed Rule 3.04.B.QT(B), which states: 

Emergency Classification. Emergency projects are 
those construction or modification projects which are 
necessary because there exists one or more of the 
following conditions: 

(1) An imminent threat to the structural integrity of 
the building; and/or 

(2) An imminent threat to the safe operation and 
functioning of the mechanical, electrical, or 
comparable systems of the building. 

The Joint Committee objects to this proposed rule because it is beyond 
the Department's statutory authority to classify health care facility 
projects as reviewable or emergency. Section 8 of the Illinois Health 
Facilities Planning Act, 111. Rev. Stat. 1977, ch. Ill 1/2, par. 1158, 
establishes a statutorily defined permit review process. Nothing in the 
Act authorizes the Department to classify a health care facility project 
as emergency, and therefore exempt from the review process. 

Date Agency Response Received: July 11, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

This objection has been remedied by the provision of appropriate authority in 
Public Act 81-149 subsequent to the review of this rulemaking. 



Rules for the Licensure of Home 
Health Agencies 

Initial Publication in Illinois Register: May 11, 1979 



A 



Joint Committee Objection: May 29, 1979 

Specific Objection: 

Proposed Rule 7.01, which states, in part: 

The following information must be furnished to the 
Department at least sixty days in advance of the 
training program. Retroactive approval will not be 
granted . 

The Joint Committee objects to this proposed rule because it is arbitrary 
and unreasonable. Rule 2.0 of the rules and regulations for the licensure 
of home health agencies states, in part, "[o] n and after October 1, 1979, 
every agency employing home health aides shall insure through 
verification that all newly employed home health aides have completed a 
basic course of instruction." However, given the time requirements 
involved in the approval of a home health aide training program, it is 
extremely unlikely that there will be any approved training programs in 
operation in time to meet the October 1, 1979 implementation deadline. 

Date Agency Response Received: August 31, 1979 

Nature of Agency Response: Modified 

Hospital Licensing Requirements, Parts I, II, 
HI, VI, VIII, IX, X, XI, XIV, XVI, XIX and XXII 

Initial Publication in Illinois Register: June 22, 1979 

Joint Committee Objection: July 17, 1979 

Specific Objections: 

1. Proposed rule (l-2.1)l.(b) which states, in part: 

Accreditation by the Joint Commission on 
Accreditation of Hospitals may be accepted, in whole 
or in part, as documentation that the accredited 
hospital is in compliance with State Licensing 
Requirements. 

The Joint Committee objects to this proposed rule because the criteria 
used by the Department to determine whether to accept hospital 
accreditation by the Joint Commission on Accreditation of Hospitals 
constitute "rules" as that term is defined in Section 3.09 of the Illinois 
Administrative Procedure Act, m. Rev. Stat. 1977, ch. 127, par. 1003.09, 
and the failure of the Department to include such criteria in proposed 
rule (l-2.1)l.(b) is in violation of Section 4(c) of the IAPA which states 
that " [ 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 



iiii. 



available for public inspection and filed with the Secretary of State as 
required by this Act." 

2. Proposed rule (1-3.2)2. which states: 

Any hospital desiring to conduct an experimental 
program or to do research which is in conflict with 
these regulations, must submit a written request to the 
Department and secure prior approval. 

Progress reports on the results of the research or 
experiment or the notice of termination of the program 
shall be submitted to the Department. The timing of 
Progress Reports shall be determined by the 
Departments [sic] . 

The Joint Committee objects to this proposed rule because the criteria 
used by the Department to determine whether to approve experimental 
or research programs, and for the timing of Progress Reports on such 
programs, constitute "rules" as that term is defined in the IAPA. The 
Department's failure to include this criteria in proposed rule (1-3.2)2. is 
in violation of Section 4(c) of the IAPA. 

3. Proposed Part XIX Psychiatric Services - of the Hospital Licensing 
Requirements. 

The Joint Committee objects to proposed Part XIX because it is 
arbitrary, and inconsistent with the Mental Health and Developmental 
Disabilities Code, 111. Rev. Stat. 1978 Supp., ch. 91 1/2, par. 1-100 et seq., 
which recognizes the independence of psychologists. 

Date Agency Response Received: October 22, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills Three and 
Four, pages 227-230). 



Rules for the Control of Communicable Diseases 

Initial Publication in Illinois Register: September 7, 1979 

Joint Committee Objection: October 23, 1979 

Specific Objection: 

Proposed Chapter III [ Measles] (D)(4) which states, in part: 

D. Measles Outbreak Control 

4. A notice must be sent home with each student 
who has not presented prior proof 



■ 



of immunity [against measles] explaining that 
the student is to be excluded, effective the 
following morning, until acceptable proof of 
immunization is received by the school. 

Pursuant to Section 2 of an act in relation to the prevention of certain 
communicable diseases, ni. Rev. Stat. 1977, ch. Ill 1/2, par. 22.12, the 
immunization requirement shall not apply if "[t] he parent or guardian of 
the child objects thereto on the grounds that the administration of 
immunizing agents conflicts with his religious tenets or practices...." 

The Joint Committee objects to this proposed rule because it is beyond 
the Department's statutory authority to exclude from school, in the 
event of a measles outbreak, children who have not been immunized on 
religious grounds. 

Date Agency Response Received: December 17, 1979 

Nature of Agency Response: Modified 

Peremptory Rules for Drinking 
Water Systems 

Initial Publication in Illinois Register: September 7, 1979 

Joint Committee Objection: October 23, 1979 

Specific Objections: 

The Rules for Drinking Water Systems which were promulgated in order 
to obtain primacy and become eligible for federal grants for the 
monitoring of drinking water systems. 

1. The Joint Committee objects to these rules because the 
Department was not required to adopt them by federal law or 
federal rules and regulations or by an order of court as required by 
Section 5(e) of the Illinois Administrative Procedure Act, 111. Rev. 
Stat. 1977, ch. 127, par. 1005(e). 

2. The Joint Committee objects to these rules because they do no 
reflect the policy of the Department. In fact, the Department has 
not intention of enforcing several of the more burdensome 
requirements mandated by the federal Safe Drinking Water Act. 

Date Agency Response Received: Pending 

Nature of Agency Response: Pending 



Rfi 



The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills Five and 
Six, pages 231-238). 

Department of Registration and Education 

Amendment, Dental Rules I, II, and IV of the 
Illinois Dental Practice Act 

Initial Publication in Illinois Register: February 9, 1979 

Joint Committee Objection: March 20, 1979 

Specific Objection: 

Rule II of the proposed Rule which states, in part: 

Those candidates who present evidence satisfactory to 
the Department of success in an examination which the 
Department deems to be equivalent to the Preclinical 
Part of the Practical Section of the examination shall 
not be required to take such part of the examination. 

The Joint Committee objects to this proposed Rule II because it lacks 
adequate standards to govern the Department's determination of whether 
such an exemption should be granted. The policy of the Department in 
this area constitutes a "rule" as that term is defined in the Illinois 
Administrative Procedure 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: April 23, 1979 

Nature of Agency Response: Modified 

Rules for the Administration of the 
Illinois Nursing Act 

Initial Publication in Illinois Register: September 28, 1979 

Joint Committee Objection: October 23, 1979 

Specific Objection: 

Proposed rule IH(H) which states, in part: 

The Director may, upon a written report submitted by 
the Committee [of Nurse Examiners], withdraw, 
suspend or place on probation the approval of a nursing 
education program for any of the following: 



G9 



The Joint Committee objects to this proposed rule because it fails to set 
forth the Department's policies for determining whether to place on 
probation, suspend or withdraw the approval of a nursing school, and for 
determining the length and severity of such action. These policies 
constitute "rules" as that term is defined in Section 3.09 of the Illinois 
Administrative Procedure Act, 111. Rev. Stat. 1977, ch. 127, par. 1003.09. 
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: Pending 

Nature of Agency Response: Pending 

The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills Seven and 
Eight, pages 239-245). 

Rules for the Administration of the Illinois 
Detective Act - Rule VI 

Initial Publication in Illinois Register: October 19, 1979 

Joint Committee Objection: November 20, 1979 

Specific Objection: 

Rule VI(B)(4) which states, in part: 

Both the Armed Guard Training Card and the 
identification card must be returned to the Department 
by the employer with the notification of termination of 
employment as required by Section 10B(9) of the Illinois 
Detective Act. The Department will not reissue an 
Armed Guard Training Card of an identification card 
for new employment if the card or cards from previous 
employers have not been returned. 

The Joint Committee objects to rule VI(B)(4) because it is beyond the 
Department of Registration and Education's statutory authority to make 
an employee responsible for ensuring that a previous employer returns 
that employee's training and identification cards. 

Date Agency Response Received: Pending 

Nature of Agency Response: Pending 



70 



Emergency Rules for the Administration of the Illinois 
Optometric Act - Rule X - Continuing Education 
for Optometrists 

Initial Publication in Illinois Register: November 21, 1979 

Joint Committee Objection: November 20, 1979 

Specific Objection: 

Rules for Administration of the Illinois Optometric Act - Rule X - 
Continuing Education for Optometrists which establish continuing 
education requirements for licensed optometrists. 

The Joint Committee objects to this emergency rulemaking because it 
could have been adopted by use of the proposed rulemaking procedures 
provided in the Illinois Administrative Procedure Act, 111. Rev. Stat. 
1977, ch. 127, par. 1005.01, as amended by P.A. 81-1044. A continuing 
education requirement was added to the Illinois Optometric Act (111. Rev. 
Stat. 1977, ch. 127, par. 3801 et seq., as amended) in October, 1975 by 
P.A. 79-924. Therefore, this emergency rulemaking does not meet the 
requirements of Section 5.01 of the Illinois Administrative Procedure Act 
which provides that emergency rulemaking procedures should only be 
used "where an agency finds that an emergency exists which requires 
adoption of a rule upon fewer days than is required by Section 5.01...." 

Date Agency Response Received: Pending 

Nature of Agency Response: Pending 

Department of Revenue 

Rule 1, Bingo License and Tax Act 

Initial Publication in Illinois Register: December 8, 1978 

Joint Committee Objection: January 31, 1979 

Specific Objection: 

The notice of proposed rulemaking published in the Illinois Register did 
not include "the old and new materials of a proposed amendment" as 
required by Section 5(a)(1) of the Illinois Administrative Procedure Act, 
m. Rev. Stat. 1977, ch. 127, par. 1005(a)(1). It is vital that the old 
material of a rule being amended be included in the notice so that 
persons affected by the rulemaking will be advised of the nature and 
scope of the change in the rule. 

The Joint Committee objects to this proposed amendment because the 
notice of proposed rulemaking is in violation of the provisions of the 
IAPA. 



■ 



Date Agency Response Received: None 
Nature of Agency Response: Withdrawn 



Service Occupation Tax Act 

Initial Publication in Illinois Register: January 5, 1979 
Joint Committee Objection: February 21, 1979 
Specific Objections: 

1. Proposed Part E of Section Nine which states, " [ a] n item of 
machinery or equipment which initially is used exclusively in 
manufacturing or assembling and is later converted exclusively or 
partially to non-exempt uses, will become subject to taxes at the 
time the exempt exclusive use terminates and any non-exempt use 
begins." P.A. 80-1292 requires that exempted machinery be used 
directly and exclusively in the manufacturing process. 

The Joint Committee objects to the Department's interpretation of 
"exclusively" because it violates the legislative intent of offering 
industry a financial incentive to expand or locate manufacturing 
facilities within Illinois. The Department's interpretation of "exclusive 
use" will exclude a great deal of machinery and equipment considered 
exempt under any reasonable standard, and will also put smaller 
businesses at a competitive disadvantage. The Department's 

interpretation of exclusive use is also unenforceable. 

2. Proposed Part H of Section Nine which requires both the vendor 
and the purchaser to certify the exempt nature of the transaction. 

The Joint Committee objects to proposed Section H because Public Act 
80-1292 does not require the seller to validate or "certify" the buyer's tax 
exemption claim. Rather, the Act requires only that the seller furnish to 
the Department a certificate of exemption from the purchaser . 
Requiring the certification of the seller places the seller into the 
precarious position of having to deny an exemption and very possibly a 
sale because the buyer's tax exemption claim may not seem to be valid. 
The Department's requirement of the retailer alters the role of the 
retailer from collector of taxes to enforcer of Departmental rules. 

3. Part C of Section Nine which defines "machinery and equipment" 
to include: 

any mechanical, electric, or electronic devices as well 
as any adjunct or attachment necessary for the basic 
device 



to accomplish its intended function or any device used 
or required to control, regulate, or or operate a piece of 
machinery equipment, provided such device is directly 
connected with or is an integral part of the machinery 
or equipment. 

The Joint Committee objects to this proposed rule because it fails to 
make a distinction between "machinery" and "equipment." By not 
distinguishing between the two, the Department excludes certain tools, 
dies, jigs, and other objects which are independent and separate of the 
machinery, are used directly and exclusively in the manufacturing 
process, and would normally be considered equipment necessary for the 
production of a product. 

4. Proposed Part D of Section Nine which in defining "direct use" 
states, 

The law requires that, to be exempt, machinery and 
equipment be used "directly" in manufacturing or 
assembling. In determining whether such property is 
"directly" used consideration will be given to the 
following factors: 

1. The physical proximity of the property in question 
to the production process in which it is used; 

2. The proximity of time of use of the property in 
question to the time of use of other property used 
before and after it in the production process; 

3. The active causal relationship between the use of 
the property in question and the production of a 
product. 

The Joint Committee objects to this proposed rulemaking because it 
lacks adequate standards to govern the Department's exercise of 
discretion in applying the factors listed above to machinery and 
equipment in the determination of what constitutes a "direct use." The 
factors given by the Department do not provide adequate guidance to the 
affected parties in determining what constitutes direct use. The policy 
of the Department in this area constitutes a rule, as that term is defined 
in Section 3.09 of the Illinois Administrative Procedure Act, 111. Rev. 
Stat. 1977, ch. 127, par. 1003.09. Under Section 4(c) of the Act "[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." 



73 



5. Part F of Section Nine which states, 

The assembly, fabrication, construction or 
"manufacture" of articles of tangible personal property 
on behalf of a customer who owns the materials or 
components out of which the product is assembled, 
fabricated, constructed, or "manufactured" is not an 
exempt use by a manufacturer or asembler as the 
output of the manufacturer or assembler's production 
process is not for sale by him. 

The Joint Committee objects to the exclusion from the exemption of 
machinery and equipment used by manufacturers who do not own the 
components of a product or do not directly sell a product because it 
exceeds the Department's statutory authority which requires only that 
machinery and equipment be directly and exclusively used in the 
manufacturing or assembling of tangible personal property for sale 
(Public Act 80-1292). The statutory language does not require that the 
products must be sold by the manufacturer. 

6. Failure of the Department to include in the proposed rules its 
policy with regard to the application of the concept of 
"manufacturing process" to specific machinery and equipment, and 
phases of a manufacturer's operation. 

The Joint Committee objects to proposed Article 2, Section 9, Machinery 
and Equipment Exemption, because it lacks adequate standards to govern 
the Department's exercise of discretion in applying the concept of 
"manufacturing process" to specific machinery and equipment, and to 
phases of the manufacturer's operation. The policy of the Department in 
this area constitutes a rule, as that term is defined in Section 3.09 of the 
Illinois Administrative Procedure Act, 111. Rev. Stat. 1977, ch. 127, par. 
1003.09. Under Section 4(c) of the Act "[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: May 27, 1979 

Nature of Agency Response: Refusal to Modify or Withdraw 

Members of the Joint Committee introduced House Bill 1596 in response to this 
rulemaking to clarify the legislative intent of the statute. The bill was 
enacted as Public Act 81-991. 



Article 14 of the Retailers' Occupation Tax 
Act as it Pertains to "Transferee Assessments" 



^L 



Initial Publication in Illinois Register: April 6, 1979 

Joint Committee Objection: April 26, 1979 

Specific Objection: 

Article 14, which states, in part, that the Department may grant a 
rehearing upon application of the person aggrieved after issuance of a 
final assessment or a notice of tax liability which becomes final without 
the necessity of actually issuing a final assessment. 

The Joint Committee objects to this proposed Article 14 because it lacks 
adequate standards to govern the Department's exercise of discretion 
with regard to the granting of rehearings. The policy of the Department 
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: June 8, 1979 

Nature of Agency Response: Modified 

Article 4 of the Retailers' Occupation Tax Act 
as it Pertains to Penalties of Perjury and Article 
4 of the Service Occupation Tax Act as it Pertains 
to Penalties of Perjury 

Initial Publication in Illinois Register: July 27, 1979 

Joint Committee Objection: August 14, 1979 

Specific Objection: 

Article No. 4(N) of the Retailers' Occupation Tax rules, 
incorporated by reference in Article No. 4(G) of the Service 
Occupation Tax rules, which states that each return or notice is to 
be filed under the penalties of perjury. 

The Joint Committee objects to proposed Article 4(N) of the Retailers' 
Occupation Tax rules because the Department lacks statutory authority 
to require these returns and notices to be filed under penalty of perjury. 

Date Agency Response Received: October 19, 1979 

Nature of Agency Response: Refusal to Modify or Withdraw 

The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills Nine and 
Ten, pages 247-269). 



75 



OTHER AGENCIES 

Illinois Commerce Commission 

General Order 1 Under Illinois Commercial 
Relocation of Trespassing Vehicles Law 

Initial Publication in Illinois Register: December 15, 1978 

Joint Committee Objection: January 31, 1979 

Specific Objection: 

Section 11(a)(2) of the proposed rule, which reads: 

Section 11. License - Revocation or Suspension 

(a) Basis for revocation or suspension of a relocator 
or operator license. The Commission may revoke 
or suspend a relocator or operator license for any 
one or more of the following reasons: 

(2) If the holder has committed substantial or 
repeated violations of the Illinois 
Commercial Relocation of Trespassing 
Vehicles Law or rules promulgated 
thereunder. 

The Joint Committee objects to this proposed rule because Section 18a- 
200(6) of the Illinois Commercial Relocation of Trespassing Vehicles Law 
requires the Commission to "provide by rule" for suspension or 
revocation of the licenses of substantial or repeated violators of the law. 
By merely restating the statutory language, the Commission has failed to 
comply with the statutory mandate. 

Date Agency Response Received: May 3, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills Eleven and 
Twelve, pages 271-282). 

General Order 208, Emergency Telephone Report 

Initial Publication in Illinois Register: January 5, 1979 

Joint Committee Objection: February 21, 1979 

Specific Objection: 

1. Proposed General Order 208 whose format is that of a 
"standardized form." 

The Joint Committee objects to this proposed rule because 



76 



the format used is that of a standardized form, and according to Section 
3.09 of the Illinois Administrative Procedure Act, 111. Rev. Stat. 1977, 
ch. 127, par. 1003.09 "Rule" does not include the prescription of 
standardized forms. Rather, the policy contained in the form should be 
set forth in an expository manner. 

Date Agency Response Received: Not Applicable 

Nature of Agency Response: Modified 

General Order 2 - Uniform System of Accounts for 
Relocators of Trespassing Vehicles Under the Illinois 
Commercial Relocation of Trespassing Vehicles Law 

Initial Publication in Illinois Register: June 15, 1979 

Joint Committee Objection: July 17, 1979 

Specific Objection: 

The Joint Committee objects to this proposed General Order because the 
Commerce Commission does not have the statutory authority to 
establish a uniform system of accounts in this area. If the General 
Assembly had intended to delegate to the Commission such authority, it 
would have done so by express statutory language, as was the case in, for 
example, The Illinois Motor Carrier of Property Law, 111. Rev. Stat. 
1977, ch. 95 1/2, par. 18-100 et seq., and An Act Concerning Public 
Utilities, IU. Rev. Stat. 1977, ch. Ill 2/3, par. 1 et seq. 

Date Agency Response Received: October 10, 1979 

Nature of Agency Response: Refusal to Modify or Withdraw 

The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills Eleven and 
Twelve, pages 271-282). 

Rules on Minimum Safety Standards for the 
Transportation of Gas and for Pipeline Facilities 

Initial Publication in Illinois Register: August 24, 1979 

Joint Committee Objection: September 18, 1979 

Specific Objections: 

1. Proposed Rules 192.457(b)(3) and 192.465(e), which provide that an 
operator shall determine the areas of actual corrosion by electrical 
survey, or where electrical survey is impractical by other means. 

The Joint Committee objects to this proposed rule because the rule is 
vague, and thus fails to provide adequate 



77 



standards or guidelines to govern the Commission's determination as to 
when an electrical survey is impractical, and for determining what other 
means of checking pipe corrosion are adequate. 

2. Proposed Rule 192.467, which uses the phrases "if isolation is not 
achieved because it is impractical", "other measures must be 
taken" and "where a pipeline is located in close proximity to tower 
footings." 

The Joint Committee objects to the proposed rule because the rule is 
vague, and thus fails to provide adequate standards or guidelines to 
govern the Commission's determination as to when isolation is 
impractical and of what other measures are acceptable. 

3. Proposed Rule 192.473(a) and 192.473(b), which require a program to 
minimize the effects of stray currents, and a design to minimize 
adverse effects on adjacent structures. 

The Joint Committee objects to the proposed rules because the rule is 
vague, and thus fails to provide adequate standards or guidelines by 
which the Commission may determine whether a program to minimize 
the detrimental effects of stray currents, and the design to minimize 
adverse effects on adjacent structures, are adequate. 

Date Agency Response Received: December 21, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

Illinois Community College Board 

Policy Manual 

Initial Publication in Illinois Register: September 7, 1979 

Joint Committee Objection: October 23, 1979 

Specific Objection: 

Proposed Rules 4.03, 4.07, 4.08.01, 4.08.02, 6.14, 6.17, 7.07B, 7.17, 7.19, 
8.03, 9.05, 9.06 and proposed Chapter Four. These proposed rules 
provide standards and criteria for community college recognition by the 
Board, and the Board's policies for the recognition program. Criteria for 
program recognition and the Board's policies for approving programs are 
also provided in these rules. 

The Joint Committee objects to these proposed rules because they lack 
adequate standards to govern the Board's exercise of discretion with 
regard to the policies contained in these rules. The policies of the Board 
in these areas constitute "rules" as that term is defined in the Illinois 
Administrative Procedure Act. Under Section 4(c) of the 



78 



Act, m. 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: Pending 

Nature of Agency Response: Pending 

Criminal Justice Information Council 

Emergency Regulations Governing the Security of 
Criminal History Record Information 

Initial Publication in Illinois Register: July 13, 1979 

Joint Committee Objection: August 14, 1979 

Specific Objection: 

This emergency amendment extends the expiration date of the rule from 
July 1, 1979 to July 1, 1980. The original decision to establish the July 1, 
1979, expiration date within the rule was made by the Council. The 
Council's position in this case, that the impending expiration of the rule 
constitutes an emergency requiring the adoption of a rule upon less than 
45 days' notice, is not consistent with the requirement of the Illinois 
Administrative Procedure Act, 111. Rev. Stat. 1977, ch. 127, par. 1001 et 
seq., that agencies may adopt rules only after giving notice of their 
intended actions, and permitting interested persons to comment on those 
actions. 

The Joint Committee objects to this emergency rule because it is filed in 
violation of Section 5(b) of the IAPA, in that no emergency exists which 
requires its adoption upon less than 45 days' notice. 

Date Agency Response Received: September 10, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

State Board of Education 

Rules for Dismissal of Tenured Teachers, 



Principals, and Civil Service Employees 
in School Districts Governed by Article 
34 of the School Code 



Initial Publication in Illinois Register: January 19, 1979 
Joint Committee Objection: February 21, 1979 



79 



Specific Objections: 

1. Section 3.03(c), which states: 

If the employee fails to promptly notify the [local] 
board of any name stricken or fails to cooperate in the 
selection process, the board may select the hearing 
officer from the remaining names on the list. 

The Joint Committee objects to this proposed section because it does not 
reflect the Board's actual policy. 

The Board's policy is to give an employee 10 days to notify the local 
board of a decision to strike a name from the list of potential hearing 
examiners. This policy constitutes a rule, as that term is defined in 
Section 3.09 of the Illinois Administrative Procedure Act, 111. Rev. Stat. 
1977, ch. 127, par. 1003.09. Under Section 4(c) of the Act T '[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." 

2. Section 7.03(k) which states, in part: 

A return receipt showing delivery to the employee's last 
known address within 20 days after the date of adoption 
of the motion for dismissal shall constitute proof of 
service [of the notice of dismissal] . 

The Joint Committee objects to this proposed section because it does not 
reflect the Board's actual policy. 

A return receipt showing delivery of the notice constitutes proof of 
service when the notice has been delivered by mail. When the notice has 
been delivered in person, the testimony of the person delivering the 
notice constitutes proof of service. This policy is a rule as that term is 
defined in Section 3.09 of the Illinois Administrative Procedure Act, M. 
Rev. Stat. 1977, ch. 127, par. 1003.09. Under Section 4(c) of the Act 
"[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: March 23, 1979 

Nature of Agency Response: Modified 

S.B.E. 132 - Rules for the Development of 
a Plan for the Improvement of Instruction 

Initial Publication in Illinois Register: May 4, 1979 



80 



Joint Committee Objection: May 20, 1979 

Specific Objection: 

Proposed Section 5.3 which states: 

The hearing shall be conducted in accordance with the 
requirements of the Illinois Administrative Procedure 
Act, Ch. 127, par. 1010, 1011, 1012, 1013, 1014, and the rules 
of practice adopted pursuant to Ch. 127, par. 1004(a)l 
entitled "Hearing Practices for Contested Cases 
Pertaining to Withholding of Funds." 

The Joint Committee objects to this proposed section because the rules 
of practice referred to in the proposed section have not been filed with 
the Secretary of State, as required by Section 5(a) of the Illinois 
Administrative Procedure Act, 111. Rev. Stat. 1977, ch. 127, par. 1005(a). 
In fact, the Board will rely solely on the hearing requirements contained 
in the IAPA. The rule as proposed, therefore, does not reflect the actual 
policy of the Board. 

Date Agency Response Received: August 1, 1979 

Nature of Agency Response: Modified 

Environmental Protection Agency 

Rules for Issuance of Permits to New or Modified 
Air Pollution Sources Affecting Nonattainment Areas 

Initial Publication in Illinois Register: September 14, 1979 

Joint Committee Objection: October 23, 1979 

Specific Objection: 

Section 10.1 which states that emission offsets must be obtained prior to 
the operation of the new or modified source and Section 10.3 which 
states that emission offsets may be transferred. 

The Joint Committee objects to Sections 10.1 and 10.3 because the 
Agency does not adequately state its policy with regard to the 
ownership, transferral and acquisition of emission offsets. The policy of 
the Agency in this area constitutes a rule, as that term is defined in 
Section 3.09 of the Illinois Administrative Procedure Act, m. Rev. Stat. 
1977, ch. 127, par. 1003.09. Under Section 4(c) of the Act, 111. Rev. Stat. 
1977, ch. 127, par. 1004(e), "[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." 



81 



Date Agency Response Received: Pending 

Nature of Agency Response: Pending 

The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills Thirteen and 
Fourteen, pages 283-293). 

Emergency Rules for Issuance of Permits to 
New or Modified Air Pollution Sources Affecting 
Nonattainment Areas 

Initial Publication in Illinois Register: September 14, 1979 

Joint Committee Objection: October 23, 1979 

Specific Objection: 

This is the second filing of this emergency rulemaking the first being 
published concurrently with proposed rulemaking on May 4, 1979 in the 
Illinois Register . Section 5(b) of the Illinois Administrative Procedure 
Act, 01. Rev. Stat. 1977, ch. 127, par. 1005(b) provides that emergency 
rules "may be effective for a period of not longer than 150 days...." The 
150 day period allows an agency to formally adopt emergency rules as 
permanent rules, if the agency so desires. Consecutive publication of 
substantially identical rules on an emergency basis is not consistent with 
the IAPA requirement of notice. 

The Joint Committee objects to this emergency rulemaking because it is 
filed in violation of Section 5(b) of the IAPA, in that no emergency exists 
which requires its adoption upon fewer than 45 days' notice. 

Date Agency Response Received: Pending 

Nature of Agency Response: Pending 

The Joint Committee is suggesting two alternative bills for General Assembly 
consideration in response to this rulemaking (see Alternative Bills Thirteen and 
Fourteen, pages 283-293). 

State Fire Marshal, Office of 

Boiler and Pressure Vessel Safety Act and Rules 

Initial Publication in Illinois Register: October 12, 1979 

Joint Committee Objection: November 20, 1979 

Specific Objection: 

Proposed Boiler and Pressure Vessel Safety Rules, which establish 
procedures for the repair and alteration of boiler and pressure vessels. 



82 



The Joint Committee objects to the proposed rules because they do not 
contain a provision allowing an owner/user to utilize either NBIC or API 
standards for boiler and pressure vessel repair, alteration and inspection, 
as provided by Section 10(A)3 of the Boiler Safety Act, 111. Rev. Stat. 
1977, ch. Ill 1/2, par. 3211(A)3. 

Date Agency Response Received: Pending 

Nature of Agency Response: Pending 

Illinois Health Facilities Authority 

Fees and Costs Applicable to the 
Sale of Bonds 

Initial Publication in Illinois Register: May 18, 1979 

Joint Committee Objection: June 18, 1979 

Specific Objections: 

1. Section 1 of proposed Article II, which states that the application 
fee for bond issues of less than 500,000 dollars or more than 
35,000,000 dollars is "individually determined." 

The Joint Committee objects to this proposed section because the 
general criteria used by the Authority to determine the exact application 
fee for bond issues of less than 500,000 dollars, or more than 35,000,000 
dollars, constitute "rules" as that term is defined in Section 3.09 of the 
Illinois Administrative Procedure Act, Ell. Rev. Stat. 1977, ch. 127, par. 
1003.09, and the failure of the Authority to include any criteria in 
Section 1 of proposed Article II is in violation of Section 4(c) of the IAPA 
which states that " [ 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." 

2. Section 4 of proposed Article II, which states, in part, "[s] election 
of the firm to perform this [ feasibility] study from the Authority's 
list of approved consulting firms will be made by the Authority 
after consultation with the applicant." 

The Joint Committee objects to this proposed rule because the 
Authority's policies on approval of financial feasibility consulting firms 
constitute "rules" as that term is defined in the IAPA. The Authority's 
failure to include its policies in Section 4 of the proposed Article II is in 
violation of Section 4(c) of the IAPA. 

Date Agency Response Received: July 12, 1979 



Nature of Agency Response: Modified 

State Board of Investments 

State Employees' Deferred Compensation Plan 

Initial Publication in Illinois Register: February 2, 1979 

Joint Committee Objection: February 21, 1979 

Specific Objection: 

Section 24-104.1 of the Public Employees' Deferred Compensation Act, 
m. Rev. Stat. 1977, ch. 108 1/2 par. 24-104.1, states that the Plan shaU 
provide for the recovery of the expenses of its administration. The 
Board's policy for doing this is to charge participants a $1.00 per month 
fee plus an annual asset charge of .2 percent. This policy was not 
included in the proposed rules. 

The Joint Committee objects to proposed Section 4.5 because the Board's 
policy for recovering administrative expenses is a rule as that term is 
defined in Section 3.09 of the Illinois Administrative Procedure Act, 111. 
Rev. Stat. 1977, ch. 127, par. 1003.09. Under Section 4(c) of the Act 
"[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: March 19, 1979 

Nature of Agency Response: Modified 

Lottery Control Board 

Rule 19, Requests for Action to Make Changes 
With Respect to Rule 14, Paragraph 5, Rule 17 
and Rule 18 of the Illinois Lottery Law 

Initial Publication in Illinois Register: March 2, 1979 

Joint Committee Objection: March 20, 1979 

Specific Objections: 

1. Proposed Sections 2, 3 and 4 which are the Definitions and the 
Powers and Duties of the Lottery Control Board. These proposed 
sections contain only citations of sections of the Illinois Lottery 
Law, 111. Rev. Stat. 1977, ch. 120, par. 1151 et seq., and do not 
include the text of any of the sections which have been adopted 
verbatim as rules. 



84 



The Joint Committee objects to these proposed sections because the text 
of sections of statute which are adopted as rules should be included in 
full instead of merely providing citations to these sections of statute. 

2. Proposed Rule 22 which states, in part, "[t]hese rules may be 
suspended or modified by the Board, in whole or in part, in the 
interest of justice." 

The Joint Committee objects to this proposed rule because it violates 
Section 5(a) of the Illinois Administrative Procedure Act, 111. Rev. Stat. 
1977, ch. 127, par. 1005(a) which establishes the 45 day notice and hearing 
procedure for "the adoption, amendment or repeal of any rule." Under 
Section 5(c) of the Act, "[n] o action by any agency to adopt, amend or 
repeal a rule. ..shall be valid unless taken in compliance with this 
Section." 

Date Agency Response Received: June 4, 1979 

Nature of Agency Response: Withdrawn 



Section 22 of the Procedural Rules of 
the Lottery Control Board (existing rule) 

Rule Adopted: August 23, 1974 

Joint Committee Objection: June 18, 1979 

Specific Objection: 

Section 22 which states, in part, " [ t] hese rules may be suspended or 
modified by the Board, in whole or in part, in the interest of justice." 

The Joint Committee objects to this rule because it allows the Board to 
circumvent the 45 day notice and hearing requirement of Section 5(a) of 
the Illinois Administrative Procedure Act, 111. Rev. Stat. 1977, ch. 127, 
par. 1005(a) when making rules. Under Section 5(c) of the Act, "[n]o 
action by any agency to adopt, amend or repeal a rule. ..shall be valid 
unless taken in compliance with this Section." 

Date Agency Response Received: No response 

Nature of Agency Response: Refusal To Modify or Withdraw 

After an additional hearing before the Joint Committee, the Agency agreed to 
initiate rulemaking to amend this section to remedy the objection. 

Pollution Control Board 



85 



Rules 401 and 405 of Chapter 1; Procedural Rules 

Initial Publication in Illinois Register: October 12, 1979 

Joint Committee Objection: November 20, 1979 

Specific Objection: 

The proposed amendments to Procedural Rules 401 and 405 of Chapter 
One of the Board's rules which require petitioners applying for variances 
from State laws and regulations to prove consistency with applicable 
Federal laws and regulations. 

The Joint Committee objects to the proposed amendments to Procedural 
Rules 401 and 405 because the Board is exceeding its statutory authority 
granted under Title IX of the Environmental Protection Act, 111. Rev. 
Stat. 1977, ch. 127, par. 1035 - 1038 by requiring petitioners to prove 
consistency with applicable Federal laws and regulations. Under the 
Board's authority, the Board, not the petitioner, was given the 
responsibility to ensure conformity with the Federal laws and 
regulations. 

Date Agency Response Received: December 7, 1979 

Nature of Agency Response: Refusal to Modify or Withdraw 

The Joint Committee is recommending specific legislation in response to this 
rulemaking (see Recommended Bill Nine, pages 193-195). 

Illinois Racing Board 

Amendments to Thoroughbred Rule 301, Renumbered as 
302a; 302, Renumbered as 302b; 303 Through 309 
Inclusive, 312, 313, 314, Renumbred as Part of 
312, 315 Through 318A Inclusive, 318C Through 

New Rules 301 and 314 (emergency) 

Initial Publication in Illinois Register: July 20, 1979 

Joint Committee Objection: August 14, 1979 

Specific Objection: 

These emergency rules are identical to emergency rules adopted by the 
Racing Board on February 27, 1979. Section 5(b) of the Illinois 
Administrative Procedure Act, m. Rev. Stat. 1977, ch. 127, par. 1005(b), 
provides that emergency rules "may be effective for a period of not 
longer than 150 days...." The 150 day period allows an agency to formally 
adopt emergency rules as permanent rules, if the agency so desires. 
Consecutive publication of substantially identical rules on an emergency 
basis is not consistent with the requirement of the IAPA that agencies 
may adopt rules only after giving notice of their intended actions, and 
permitting interested persons to comment on those actions. 



86 



The Joint Committee objects to these emergency rules because they are 
filed in violation of Section 5(b) of the IAPA, in that no emergency exists 
which requires their adoption upon less than 45 days' notice. 

Date Agency Response Received: September 17, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 

Illinois State Scholarship Commission 

Student to Student Program of 
Matching Grants 

Initial Publication in Illinois Register: June 8, 1979 

Joint Committee Objection: July 17, 1979 

Specific Objection: 

1. Proposed Section 13.06 which establishes a maximum contribution 
of $9.00 per academic year. 

The Joint Committee objects to proposed Section 13.06 because the 
Commission lacks the statutory authority to impose a limit on the 
amount a student may contribute to the Student to Student Program of 
Matching Grants. 

Date Agency Response Received: October 15, 1979 

Nature of Agency Resonse: Modified 

University Civil Service Merit Board 

Rule 7.7c - Student Appointments 

Initial Publication in Illinois Register: September 21, 1979 

Joint Committee Objection: October 23, 1979 

Specific Objection: 

Rule 7.7c which states, in part, that the Director may approve 
exceptions to the "official" student workload when sufficient cause is 
evidenced. 

The Joint Committee objects to Rule 7.7c because it lacks adequate 
standards to govern the Director's exercise of discretion with regard to 
determining when sufficient cause is evidenced when approving 
exceptions to Rule 7.7c. The policy of the Board in this area constitutes 
a rule, as that term is defined in Section 3.09 of the Illinois 
Administrative Procedure Act, 111. Rev. Stat. 1977, ch. 127, par. 1003.09. 
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 



87 



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 16, 1979 

Nature of Agency Response: Refusal To Modify or Withdraw 



88 



PUBLIC ACT REVIEW 



Section 7.05(3) of the Administrative Procedure Act gives one of the Joint 
Committee's responsibilities as maintaining "a review program to study the impact of 
legislative changes. ..on agency rules and rulemaking." To implement this responsibility, 
the Joint Committee developed a program to monitor legislation which may affect 
rulemaking. This program is conducted by the Rules Review Section. 

The purposes of this program are directed both toward informing agencies of 
changes in the statutes which may require rulemaking action and to keep the Joint 
Committee members and the General Assembly informed of the progress made by 
agencies in implementing newly-enacted bills. 

The review of public acts was begun in August and September of 1979. Each of the 
bills enacted during 1979 was reviewed for its possible effect on agency rules. 
Approximately 500 acts which could require some type of rulemaking were identified and 
the agencies were each informed of which specific acts seemed to affect their rules and 
could require rulemaking. These identified acts included acts creating new agencies or 
reorganizing agencies with rulemaking authority, since they will usually require at least 
the readoption of the rules of the agency under the new agency name. 

Table Thirteen on pages 91-92 indicates the number of public acts identified by 
agency which could require rulemaking. The table also indicates the number of 
rulemakings which have been initiated and adopted by each agency to implement the 
legislative changes. While some of the acts identified by the Joint Committee staff may 
not on closer examination actually require rulemaking, it presently appears at this point in 
time that some agencies have not initiated rulemaking in response to legislative changes. 
This is a potentially serious deficiency in the rulemaking process of state agencies. 

The Joint Committee will continue to identify public acts which appear to require 
rulemaking and periodically inform agencies of these acts. The Joint Committee will also 
continue to monitor the initiation of rulemaking by agencies in response to these 
legislative changes. 



89 



The Joint Committee plans to prepare a report to the General Assembly in about 
April 1980, which will analyze the responsiveness of agencies in initiating rulemaking in 
response to newly-enacted bills. The report will indicate the length of time taken by each 
agency to initiate and to adopt rules in response to each public act and highlight agencies 
which have failed to initiate rulemaking. This report should be useful to the legislature in 
evaluating the performance of agencies. 

This public act review process should prove to be an effective oversight mechanism 
for the General Assembly, and should create agency awareness of the need to initiate 
rulemaking when required by new acts. 



90 



TABLE THIRTEEN: NUMBER OF 1979 PUBLIC ACTS WHICH COULD REQUIRE 
RULEMAKING BY AGENCY 



Number of Public 





Acts Which 


Number of 


Number of 




Could Require 


Rulemakings 


Rulemakings 




Rulemaking 


Initiated 


Adopted 


Code Departments 








Administrative Services 


4 






Aging 


1 






Agriculture 


22 


1 


1 


Children and Family Services 


10 






Conservation 


17 


3 


1 


Commerce and Community Affairs* 


7 


1 




Corrections 


11 


1 




Financial Institutions 


7 


2 




Human Rights* 


1 






Insurance 


27 


2 




Labor 


9 






Law Enforcement 


3 






Local Government Affairs 


2 






Mental Health and Developmental 








Disabilities 


6 






Mines and Minerals 


4 






Personnel 


7 


2 




Public Aid 


14 


2 


1 


Public Health 


36 






Rehabilitation Services* 


5 






Registration and Education 


16 






Revenue 


32 


4 




Transportation 


35 


2 




Veterans' Affairs 


3 


1 




Elected Officials 








Attorney General 


5 






Auditor General 


1 


1 




Comptroller 


8 






Secretary of State 


46 


1 




Treasurer 


1 


1 




Other Agencies 








Bi-State Development Agency 


1 






Board of Education 


28 






Board of Higher Education 


1 






Board of Trustees of the University 








of Illinois 


1 






Capital Development Board 


2 






Civil Service Commission 


1 






Commerce Commission 


7 


1 




Commissioner of Banks and Trust 








Companies 


3 


1 




Dangerous Drugs Commission 


6 







91 



Number of Public 

Acts Which Number of Number of 

Could Require Rulemakings Rulemaking 

Rulemaking Initiated Adopted 



Delinquency Prevention Commission 1 

Economic Development, Commission for 1 

Economic and Fiscal Commission 1 

Educational Facilities Authority 1 

Elections, Board of 16 
Emergency Services and Disaster 

Agency 1 
Environmental Facilities 

Financing Authority 1 

Environmental Protection Agency 5 

Fair Employment Practices Commission 2 

Fire Marshal, State 4 

General Assembly Retirement System 1 

Group Insurance Advisory Commission 1 
Health Assistance Programs, 

Commission on* 1 

Housing Development Authority 1 

Human Rights Commission 1 

Human Relations, Commission on 1 

Industrial Commission 1 

Industrial Development Authority 1 

Institute of Natural Resources 1 

Insurance Laws Study Commission 1 

Judges Retirement System 1 

Legislative Travel Control Board 1 

Liquor Control Commission 8 

Lottery Control Board 1 
Mass Transit Employee Anti-Crime 

Program Review Committee* 1 

Pollution Control Board 1 

Property Tax Appeal Board 1 

Racing Board 1 

Savings and Loan Commissioner 4 
Select Joint Committee on Regulatory 

Agency Reform* 2 

State Employees' Retirement System 3 

State Scholarship Commission 4 

Teachers' Retirement System 2 

Universities Civil Service System 2 

Universities Retirement System 6 



Total: 471 26 



* Newly created or reorganized agencies 



9 2 



FIVE-YEAR REVIEW PROGRAM 



During 1979, the Joint Committee began to implement its responsibility to review 
all the existing rules of all state agencies. The review, which is mandated by Section 7.08 
of the Administrative Procedure Act, is required to be completed within five years. 

Extensive planning for the program was undertaken in late 1978 and early 1979. A 
background report was prepared and formal rules for the conduct of the program were 
adopted in August 1979. The actual review began in September with rules concerning 
regulation of occupations. The results of the initial staff review in this subject area will 
be considered by the Joint Committee members beginning in February and March, 1980. 
The program will be in full operation in 1980. 

It is expected that extensive revisions will be made by agencies in their rules as a 
result of this review by the Joint Committee. Another anticipated result will be greater 
coordination between agencies regulating the same areas and the reduction of overlapping 
and conflicting regulations and regulatory jurisdictions. 

This section will briefly discuss the background of this program, its implementation 
and its anticipated operation. 

Background 

Section 7.08 of the Administrative Procedure Act mandates this on-going cyclical 

review program. The first part of this section sets out the basic organization and 

procedure for the review. It reads: 

(a) The Joint Committee shall evaluate the rules of 
each agency at least once every five years. The Joint 
Committee by rule shall develop a schedule for this 
periodic evaluation. In developing this schedule, the 
Joint Committee shall group rules by specified 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; 



93 



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. 

This detailed set of organizational and procedural requirements for the program have 
established a rather firm structure. The requirement that all the rules of all state 
agencies must be categorized by "specified areas," including the fourteen enumerated 
areas, has been one of the most difficult requirements for the Joint Committee in 
implementing this program. 

The other subsection dealing with this program provides substantive guidelines for 

the Joint Committee's evaluation of rules. The four guidelines listed in this subsection 

can be viewed as criteria for the evaluation of agency rules under this program. The 

subsection reads: 

(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 
reforms which effect rules or rulemaking; 

2. merger, modification, establishment or 
abolition of regulations; 

3. eliminating or phasing out outdated, 
overlapping or conflicting regulatory 
jurisdictions or requirements of general 
applicability; and 

4. economic and budgetary effects. 

Considering these criteria in connection with the other powers and responsibilities of the 
Joint Committee delineated in Sections 7.04 and 7.05, as well as other sections of the 
Act, gives an idea of the substantive scope of this program. The Joint Committee's 
review must include consideration of overlaps and conflicts, economic effects, procedural 
reforms and streamlining of rules. This is obviously a large task. 

Not only the mandated scope of the review, but also the sheer volume of existing 
state agency rules indicates the size of this responsibility. The currently effective rules 
fill approximately 350-8 1/2" X 11" notebooks, or five bookcases in the Joint 
Committee's office. 



94 



Planning and Implementation 

The Joint Committee attempted to implement this program carefully, making sure 
that adequate planning had gone into organizing this program before it was put into 
operation. Three tasks were essential for accomplishing the necessary planning: (1) 
Substantive guidelines, especially detailed criteria for the review, had to be developed. 

(2) All of the existing rules of all state agencies had to be categorized into subject areas. 

(3) Rules for the conduct of the program, including the review schedule, had to be 
developed and adopted. Each of these tasks will be discussed here to indicate the 
extensive planning which went into the implementation of this program during 1979. 

The development of substantive guidelines and detailed criteria for the five-year 
review program was accomplished as part of the broader task of implementing all the 
responsibilities of the Joint Committee for reviewing existing rules. A wide range of 
resources were utilized in this phase of the planning. A series of roundtable discussions 
involving state agency personnel, legislative staff members, academic experts, interest 
group representatives, private attorneys and other interested persons was held to gain 
diverse viewpoints on these tasks. 

The result of this effort was the development of a comprehensive report, entitled 
Background Report on Review of Existing Rules , which presented recommendations for 
the Joint Committee's implementation of its responsibilities to review currently effective 
rules. The recommendations concerning the criteria the Joint Committee should utilize in 
this type of review outlined eight basic criteria. These recommendations read: 



1. In evaluating whether a rule is within the 
statutory authority on which it is based, it is 
recommended that the Joint Committee 
utilize the standard canons of statutory 
construction and resort to the concept of 
legislative intent and the use of extrinsic aids 
only when the statutory language is unclear, 
internally contradictory, or contravenes the 
evident purpose of the enactment. 

2. In reviewing the basic reasonableness of an 
existing rule, it is recommended that the Joint 
Committee consider whether it appears to be 
generally within the scope of the agency's 
purposes, powers, and mission; whether it 
imposes clearly unreasonable or contradictory 
requirements; whether it conforms to legal 
requirements; whether it contains adequate 



95 



procedural safeguards and standards for the 
exercise of discretion; and whether the public 
policy embodied in the rule is reasonable and 
consistent with pubic policy enacted by the 
legislature. 

3. In considering whether existing rules are in 
proper form , it is recommended that the Joint 
Committee examine whether the form of the 
rules, their codification and physical format 
conform to the specifications estbalished by 
the Secretary of State's office and contribute 
to public access and availability. 

4. It is recommended that the Joint Committee, 
fulfilling its statutory mandate to streamline 
existing rules, consider both the necessity and 
public need for the regulations contained in 
the rules and the complexity of the language 
of the rules. 

5. It is recommended that the Joint Committee 
review existing rules to identify technical 
errors , but limit its objections to situations in 
which such errors seriously affect the public's 
ability to understand the actual meaning of 
the rules. 

6. It is recommended that the Joint Committee's 
review of existing rule include the 
identification of conflicts or overlaps between 
agency rules or regulatory jurisdictions and 
the recommendation of changes in specific 
rules, changes in rulemaking procedures, or 
organizational changes in agency jurisdictions 
to eliminate such conflicts or overlaps. 

7. It is recommended that the Joint Committee 
examine the relation to agency operations of 
existing rules, including whether areas of 
agency discretion are adequately guided by 
rules, whether the agency is actually operating 
in accordance with its rules, and whether the 
rules provide the public with a meaningful 
knowledge of how the agency will act. 

8. It is recommended that the Joint Committee 
in examining the economic impact of existing 
rules, primarily limit its concern to budgetary 
and revenue impacts and the impact on 
persons directly regulated, and that the Joint 
Committee object only when the economic 
effects are clearly unreasonable or beyond 
legislative intent. 



96 



The report also recommended that the criteria which should be emphasized in the 
five-year review program should be statutory authorization, proper form, streamlining, 
and conflicts or overlaps. Criteria which were recommended for secondary priority in this 
program were basic reasonableness, technical errors and economic impact. The criterion 
of the relation to agency operations was recommended for least emphasis, or lowest 
priority, in the five-year review program. 

The specific recommendation concerning the five-year program presented in the 
background report reads: "It is recommended that the Joint Committee in implementing 
the five-year periodic evaluation program utilize a subject area and functional activity 
classification scheme, develop a schedule for the five-year cycle, organize a team 
approach for the staff portion of the review and include agency and public input and 
formal hearings on each segment of the cycle." Other recommendations for the 
implementation of the complaint review program and the other types of reviews involving 
existing rules were also presented in the report. 

These recommendations contained in the background report have provided the basic 
substantive guidelines for the implementation of the five-year review program. 

The second task of categorizing all the existing rules of all state agencies into 
subject areas has probably proven to be the most difficult and complex of the tasks 
required for implementation of the program. The sheer volume of rules, the large number 
of agencies involved, the numerous diverse statutes under which rules have been adopted 
and the lack of any consistent numbering, filing, or format of the rules even within a 
single agency contributed to the difficulty of the task. 

The process began with an initial attempt at the categorization of the rules into the 
fourteen subject areas delineated in the Act. Additional categories were added as it 
became apparant that they were necessary to encompass the scope of all the rules. Then 
the categories were refined into two dimensions — substantive and functional — to allow a 
more detailed classification of the rules. The resulting two-dimensional matrix was 
utilized for the final classification. Each set of rules was thus classified by its 
substantive area (such as, environment, labor, business regulation, or education) and by its 
functional type (such as, licensing, financing, planning, or regulating). The categories 
used in the matrix are as follows: 



97 



Substantive 




Functional 


1. Education and Cultural Resources 


1. 


Administering 


a. Cultural Resources 


2. 


Enforcing 


b. Elementary and Secondary 


3. 


Financing 


Education 


4. 


Informing 


c. Higher Education 


5. 


Permitting and Licensing 


2. Financial Institutions 


6. 


Planning 


3. Governmental Management 


7. 


Regulating 


a. Government Purchasing 


8. 


Servicing 


b. Records and Information 


[See Section 1.5.04 of the Joint 


c. Service Management 


Committee's Operational Rules] 


4. Human Resources 






a. Corrections 






b. Mental Health 






c. Public Health 






d. Welfare 






5. Industry and Labor 






a. Business Regulation 






b. Consumer Protection 






c. Labor Laws 






d. Regulation of Occupations 






6. Law Enforcement 






7. Natural Resources 






a. Energy 






b. Environment 






c. Wildlife Management 






8. Public Utilities 






9. Transportation 






[See Section 1.5.03 of the Joint 






Committee's Operational Rules] 







The report resulting from this classification effort was over 325 pages long and 
categorized each of the thousands of sets of agency rules into one of the 168 matrix cells. 
Although the functional categories have proven useful for the organization of the Joint 
Committee staff's review, it was viewed as too complex for use in the basic structuring of 
the program. A simpler classification has been developed for the main structure of the 
program utilizing only the substantive categories. 

The Joint Committee considered the results of the classification in September 1979 
and made additional refinements following input from agencies and the public. It is 
anticipated that further refinements and adjustments of the classification will be 
necessary throughout the five-year review, especially to accomodate the adoption of new 
rules by agencies. 



98 



The codification system being developed by the Secretary of State (see pages 127- 
130) should aid in the complex task of categorizing the rules into meaningful subject areas 
for the five-year review. The uniformity in numbering and format which the codification 
will require should also reduce some of the mechanical problems involved. 

The third task necessary for the implementation of the program involved the 
development and adoption of rules for the conduct of the program. The Act mandates 
that these rules include the schedule of subject areas for the review. The other major 
aspect of these operational rules was the criteria to be utilized by the Committee in 
evaluating rules under the program. 

The rules for the operation of the five-year review program (Rule Five of the Joint 
Committee's Operational Rules) were adopted by the Joint Committee in August 1979 and 
became effective on September 1, 1979. The rules as adopted appear in Appendix C 
(pages 356-365) in this report. 

The criteria included in the rules were refined from the discussion in the background 

report. The eleven specific criteria which were included in the operational rules read as 

follows: 

Section 1.5.13: In evaluating existing rules under the 
periodic review program outlined in this rule, the 
Joint Committee shall consider the following 
criteria: 

1. Compliance of each rule with the statutory 
authority on which it is based. 

2. Compliance of each rule with the legislative 
intent of the enactment on which it is based. 

3. Compliance of each rule with constitutional 
requirements and other applicable law. 

4. Compliance in the certification and filing of 
each rule with the requirements of the 
Administrative Procedure Act, other 
applicable laws, the agency's rulemaking 
procedure rules and the rules of the Office of 
the Secretary of State. 

5. Necessity for the rules, including the 
existence of a demonstratable public need for 
any regulation embodied in the rules. 

6. Accuracy and currency of the rules in relation 
to agency operations and programs. 

7. Simplicity and clarity of the language of the 
rules. 

8. Elimination of serious technical errors in the 
rules, including grammatical, spelling, and 



99 



typographical errors, which affect the public's 
ability to understand the meaning of the rules. 
9. Reduction of overlapping or conflicting rules, 
or overlapping or conflicting regulatory 
jurisdictions of agencies or units within an 
agency. 

10. Inclusion of adequate standards and procedural 
safeguards in the rules to guide agency 
discretion, provide protection from arbitrary 
action, and inform the public of the basis for 
agency actions. 

11. Adequate consideration by the agency of the 
economic impact of the rules. 

The schedule included in the rules resulted from an effort to balance the workload 
of each of the years of the review and to provide time to concentrate on areas in which 
the Joint Committee believes this type of review would be most useful. The schedule is 
presented along with the years involved in Table Fourteen. 

The adoption of the rules for the operation of the five-year review program by the 
Joint Committee completed the planning progress and allowed the Joint Committee to 
begin to implement the program. 

Operation 

This Section will briefly outline the basic steps in the review process as it has been 
established to indicate how the program will operate. The operational rules in Appendix C 
(pages 356-365) should provide additional detail on the program's anticipated operation. 

The first stage in the process is the collection of basic information from the agency 
about each rule being reviewed. This information should be maintained and updated by 
agencies on a regular basis, so providing it to the Joint Committee should not be difficult 
or burdensome. The specific kinds of information which are requested, as listed in Section 
1.5.08 of the operational rules, are the following: 

1. The specific statutory language which 
authorizes each rule or set of rules and the 
specific statutory language which each rule or 
set of rules is implementing or interpreting. 

2. The relationship of each rule or set of rules to 
the agency's program and organizational 
structure. 

3. An estimate of the approximate cost to the 
State for operation of the agency programs or 
functions related to each rule or set of rules 
and for enforcement or monitoring of 
compliance with the rule or set of rules. 



100 



TABLE FOURTEEN: SCHEDULE OF SUBJECT AREAS FOR 
FIVE-YEAR REVIEW PROGRAM 



First Year 1979-80 



Industry and Labor 

- Business Regulation 

- Consumer Protection 

- Labor Laws 

- Regulation of Occupations 



Second Year 1980-81 

Natural Resources 

- Energy 

- Environment 

- Wildlife Management 
Public Utilities 
Transportation 



Third Year 1981-82 

Governmental Management 

- Government Purchasing 

- Records and Information Management 

- Services Management 
Law Enforcement 



Fourth Year 1982-83 

Human Resources 

- Corrections 

- Mental Health 

- Public Health 

- Welfare 



Fifth Year 1983-84 

Education and Cultural Resources 

- Cultural Resources 

- Elementary and Secondary Education 

- Higher Education 
Financial Institutions 



Reference: Section 1.5.05 of the Joint Committee's operational rules 
(pages 357-359). 



101 



4. An estimate of the extent of compliance and 
non-compliance by the affected public with 
each rule or set of rules, and the number and 
extent of variances permitted by the agency 
to each rule or set of rules. 

5. An estimate of the effect of each rule or set 
of rules on state revenues. 

6. An estimate of the economic effect on 
members of the public directly regulated by 
each rule or set of rules. 

7. Evidence of the existence of a public need for 
the regulation provided by each rule or set of 
rules, including evidence of any harm that 
would result to the public health, welfare or 
safety, if the rule or set of rules were 
repealed. 

This information provides the basis for the Joint Committee's review and evaluation of 
the rules. 



The second stage is the initial review of the rules by the Joint Committee staff. 
Questions and problems concerning each set of rules are raised by the staff and sent to 
the agency for its response. This stage also includes detailed discussions and conferences 
between the Joint Committee staff and agency representatives to answer questions which 
have been raised and to resolve any problems concerning the rules. The results of this 
staff review are presented in detail to the Joint Committee members. 

The next stage of the review process involves public hearings to gain public input on 
the rules being reviewed. It is anticipated that the Joint Committee will usually appoint 
subcommittees of its members for the purpose of holding such public hearings. Although 
input from interested groups will be collected throughout the review process, this will be 
the major opportunity for public input. 

The final stage of the review will be the consideration by the Joint Committee of 
the findings and recommendations resulting from the review. Agencies will be given an 
opportunity to respond to the recommendations in writing as well as orally at the Joint 
Committee hearing. The Joint Committee may issue statements of objection to specific 
rules, recommend legislation to the General Assembly, recommend administrative action 
or take other appropriate actions as the result of the review results and findings. 

The Joint Committee began the first cycle of reviews under the five-year review 
program during the final months of 1979. The initial staff review will be completed on 



102 



the first subject area early in 1980 and consideration of the findings and recommendations 
by the Joint Committee members will begin at that time. The rules which are the subject 
of this first cycle of reviews are listed in in Table Fifteen. 

This five-year review program will provide a unique opportunity to evaluate the 
rules of state agencies in a comprehensive and systematic manner. The careful and 
detailed planning conducted by the Joint Committee has resulted in an effective 
implementation of the program. 



103 



TABLE FIFTEEN: RULES BEING REVIEWED UNDER THE FIVE-YEAR 
REVIEW PROGRAM* 



DEPARTMENT OF AGRICULTURE 

- Organizational structure and rulemaking procedures. 

- Civil Administrative Code. 

- Commercial Feed Act. 

- Apple and Peach Marketing Program. 

- Illinois Soybean Marketing Program. 

- Insect, Pest and Plant Disease Act. 

- Egg and Egg Products Act. 

- Egg Marketing Program. 

- Humane Slaughter of Livestock Act. 

- Animal Welfare Act. 

- Animal Control Act. 

- Act in Relation to the Humane Care and Treatment of Animals. 

- Diseased Animals Act. 

- Horsemeat, Rules and Regulations. 

- Swine Brucellosis Eradication Act. 

- Act to Prevent Foul Brood Among Bees. 

- Fertilizer Act of 1961. 

- Act to Regulate the Sale and Distribution of Mixed Fertilizers and Fertilizer 
Materials. 

- Refrigerated Warehouses. 

- Salvage Warehouses and Salvage Warehouse Stores for Food, Alcoholic Liquors, 
Drugs, and Cosmetics. 

- Loading Platforms for Collection Centers for Dead Animals, Poultry, Fish and 
Parts of Bodies Thereof. 

- Illinois Horseracing Act of 1975. 

ATTORNEY GENERAL 

- Rules and regulations under the Consumer Fraud and Deceptive Business Practices 
Act. 

- Franchise Disclosure Act. 

ILLINOIS COMMERCE COMMISSION 

- Commercial Relocation of Trespassing Vehicles Law. 

DEPARTMENT OF COMMERCE AND COMMUNITY AFFAIRS 

- Property Control Act rules. 

- Requirements for funding grant-in-aid programs under Executive Order #3 (1976). 
Formerly under the Governor's Office of Manpower and Human Development. 

DEPARTMENT OF CONSERVATION 

- The Forest Products Transportation Act. 

- Fish Code of Illinois. 

GOVERNOR'S OFFICE OF CONSUMER SERVICES 

- Program Guidelines for the Office of Consumer Services, Rules for public 
participation. 

- Applying for financial and technical assistance from the Office of Consumer 
Services. Formerly under the Governor fe Office of Manpower and Human 
Development. 



104 



ENVIRONMENTAL PROTECTION AGENCY 

- An Act to Regulate the Operating of a Public Water Supply Certification and 
Operation of Environmental Laboratories. 

FAIR EMPLOYMENT PRACTICES COMMISSION 

- Fair Employment Practices Act: Internal rules. 

- Rules and regulations concerning public contracts. 

- Administrative Procedure Act: Internal rules. 

INDUSTRIAL COMMISSION 

- Rules of practice before the Commission on Workman's Compensation and 
Occupational Diseases Cases. 

- Rules governing assignment to insurance carriers under An Act to Provide 
Insurance for Employees who Have Been Rejected by Carriers. 

DEPARTMENT OF INSURANCE 

- The Insurance Code, Rules and Regulations. 

DEPARTMENT OF LABOR 

- Regulations for the administration of the Unemployment Insurance Act. 

- Regulations for conduct of hearings under the Unemployment Insurance Act. 

- Rules and regulations of the Bureau of Employment Security. 

- Private Employment Agency Act. 

- Illinois Home Work Law. 

- Minimum Wage Act. 

- Act in Relation to the Payment of Wages to Non-governmental Employees. 

- Rules and regulations under the Child Labor Law. 

- Rules under An Act to Promote the Public Health and Comfort of Persons 
Employed by Providing for One Day Rest in Seven. 

- Administrative Procedure Act rules. 

LIQUOR CONTROL COMMISSION 

- Organizational Structure and Rulemaking Procedures. 

- Liquor Control Act. 

DEPARTMENT OF MINES AND MINERALS 

- An Act Regulating the Manufacture, Sale, Storage, Possession, Transportation, 
Use or Gift of Explosives. 

- Coal Mining Act - Surface, Installation, Health and Safety. 

- Coal Mining Act, Metal Mining Act - Safety Regulations. 

DEPARTMENT OF PUBLIC HEALTH 

- Plumbing License Law rules. 

- Rules under the Plumbing Code. 

- Act in Relation to Licensing of Dair Plant Operators. 

- Structural Pest Control Law. 

- Pesticide Control Law. 

- Milk and Water Laboratory Approval Program. 

- Certification and Operation of Environmental Laboratories. 

- Illinois Food Drug and Cosmetic Act. 

- Manufactured Housing and Mobile Home Safety Act. 

- Water Well and Pump Installation Contractors License Act. 

- Water Well and Pump Construction Code. 



105 



ILLINOIS RACING BOARD 

- Horse Racing Act of 1975. 

DEPARTMENT OF REGISTRATION AND EDUCATION 

- Detection of Deception Examiner Act rules and regulations. 

- Land Surveyors Act rules and regulations. 

- Weather Modification Control Act rules and regulations. 

- Horseshoeing Act rules and regulations. 

- Funeral Directing and Embalming Act rules and regulations. 

- Barber Act rules and regulations. 

- Beauty Culture Act rules and regulations. 

- Collection Agency Act rules and regulations. 

- Detective Act rules and regulations. 

- Veterinary Medicine and Surgery Practice Act rules and regulations. 

- Rules and regulations concerning dental practice, dental hygienist and dental 
specialist. 

- Medical Practice Act rules and regulations. 

- Certified Shorthand Reporters Act rules and regulations. 

- Land Sales Act rules and regulations. 

- Real Estate Brokers and Salesmen Act rules and regulations. 

- Architectural Act rules and regulations. 

- Public Accounting Act rules and regulations. 

- Professional Engineering Act rules and regulations. 

- Structural Engineering Act rules and regulations. 

- Civil Administrative Code rules and regulations. 

- Rules and regulations under An Act in Relation to Meetings. 

DEPARTMENT OF REVENUE 

- Municipal Retailers Occupation Tax Act rules and regulations. 

- Retailers Occupation Tax Act rules and regulations. 

- Municipal Use Tax Act rules and regulations. 

- Municipal Leasing Occupation Tax Act rules and regulations. 

- Municipal Services Occupation Tax Act rules and regulations. 

- Services Occupation Tax Act rules and regulations. 

- Bingo License and Tax Act rules and regulations. 

- Act Relating to Alcoholic Liquors. 

- Coin-Operated Amusement Device Tax Act. 

- Cigarette Tax Act. 

- Act for the Assessment and Taxation of Private Car Line Companies. 

- County Service Occupation Tax Act. 

- County Use Tax Act. 

- County Leasing Occupation Tax Act. 

- County Retailer's Occupation Tax Act. 

- Gas Revenue Tax Act. 

- Hotel Operator's Occupation Tax Act. 

- Leasing Occupation Tax Act. 

- Leasing Use Tax Act. 

- Messages Tax Act. 

- Use Tax Act. 

- Tobacco Products Tax Act. 

- Oil Inspection Act. 



106 



SECRETARY OF STATE 

- Securities Act of 1953 rules and regulations. 

- Business Take-Over Act Rules. 



* These rules have been classified in the areas of regulation of occupations, consumer 
protection, labor laws and business regulation. 



107 



COMPLAINT REVIEWS 



Indentifying and resolving problems with state agency rules and regulations is one of 
the Joint Committee's main purposes. The complaint review procedure established by the 
Joint Committee should aid in the identification of rules which members of the public 
have experienced problems understanding or complying with. The procedure is not 
intended to be adversarial in nature, but to provide a forum for discussion and resolution 
of regulatory problems. Often the problems are resolved without formal action by the 
Joint Committee. 

Since the initiation of the complaint review process in the fall of 1979, the Joint 
Committee has reviewed about 25 complaints concerning agencies rules. Not all the 
problems have been resolved in each case, but the Joint Committee staff has usually been 
able to resolve the major difficulties through written questions and conferences with the 
agency involved. 

Only one complaint during 1979, which concerned the confidentiality of records of 
foster parents maintained by the Department of Children and Family Services, required a 
formal hearing by the Joint Committee members. Although the Joint Committee did not 
issue a statement of objection to the rule, the hearing provided an opportunity for a full 
discussion of the difficult issues involved. 

The complaint review procedure was developed in connection with the 
comprehensive planning for the review of existing rules which was discussed in the section 
on the five-year review program (pages 95-97). The Background Report developed from 
the planning process recommended the establishment of this type of program. The 
recommendation read: "It is recommended that the Joint Committee develop a complaint 
review program to investigate complaints on existing rules and that after appropriate 
study and review, the Joint Committee object to rules found to be seriously deficient." 
The type of program recommended was discussed in detail on pages 105-111 of the 
Background Report. 

The Background Report recommended that the general criteria which should be 
considered primary in this program are statutory authorization, basic reasonableness, and 
economic impact. The recommended criteria for secondary emphasis are relation to 



109 



agency operations, and conflicts or overlaps. The other criteria (proper form, 
streamlining, and technical errors) were recommended for least emphasis. 

This recommendation was based on input from numerous participants in the planning 
project who viewed complaints as a potentially valuable means for identification of 
troublesome or problematic rules. Since the procedure is directly related to the effect of 
rules on the public, it allows the Joint Committee to identify and resolve salient 
regulatory problems. The experiences of other states, such as Minnesota, in conducting 
similar programs provided another basis for the implementation of this procedure. 

Rules for the operation of this program were developed and adopted by the Joint 
Committee in August 1979. These rules are included in the Joint Committee's 
Operational Rules as Rule Six (see Appendix C, pages 366-369). 

The most important section of the rules established the specific criteria for the 
Joint Committee's evaluation of rules which are the subject of a complaint. The criteria, 
which were based on the discussion in the Background Report, are: 

1. Compliance of the rule or set of rules with the 
statutory authority on which it is based. 

2. Compliance of the rule or set of rules with 
legislative intent. 

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

4. Reasonableness of the agency's rationale and 
justfication for the rule or set of rules, 
particularly for any regulation of the public 
embodied in the rule or set of rules. 

5. Conformity of agency rules to the actual 
practice and operations of the agency. 

6. Inclusion of all relevant agency policies in the 
set of rules. 

7. Clarity of the language of the rule or set of 
rules. 

8. Clarity and completeness of the standards in 
the rules for the exercise of discretion by the 
agency. 

9. Conformity to rulemaking requirements of the 
Administrative Procedure Act, including the 
proper publishing and filing of the rules. 

10. Responsiveness of agencies to public 
comments and requests for rulemaking 
pursuant to Section 8 of the Administrative 
Procedure Act. 

11. Reasonableness of the economic impacts of 
the rules and limitation of such impacts to the 
proper scope of the agency's authority under 



110 



the purpose and intent of the agency's 



authorizing statute 

The procedure for this review as outlined in the rules is relatively simple. 
Complaints received from the public are reviewed by the Joint Committee staff initially. 
The issues involved are discussed with the agency, members of the Joint Committee and 
the individuals or groups presenting the complaints. Informal staff-level conferences are 
often held in an effort to resolve the problems. 

If significant problems are discovered during this preliminary staff review, the 
complaint will be brought before the full Joint Committee for a formal hearing. The staff 
may recommend that the Joint Committee issue a formal statement of objection to the 
rules involved. 

At a full Joint Committee hearing on a complaint, the agency will be asked to 
justify their position and the problems will be discussed in detail by the Joint Committee 
members. 

The results of complaint reviews by the Joint Committe staff which do not require a 
formal hearing are presented to the Joint Committee members in a written report for 
their consideration. This insures that the resolution of complaints is monitored by the 
members. 

As the public becomes more aware of this function of the Joint Committee, it can 
be anticipated that more complaints will be received. This program of reviewing rules 
based on complaints should provide a valuable balance to the systematic, comprehensive 
review involved in the five-year review program. 



Ill 



SPECIAL HJR16 PROJECT 



Overview 

During the spring 1979 session of the legislature, House Joint Resolution 16 was 
passed creating a special joint subcommittee of the Joint Committee on Administrative 
Rules to investigate and report on the plans and policies of the state implementation of 
the Federal Clean Air Act amendments of 1977 and Section 208 of the Clean Water Act. 
Under both of these federal Acts, the state was being required to develop and submit to 
the United States Environmental Protection Agency plans to implement these programs. 

The creation of the joint subcommittee was the result of legislative concern that 
there had been inadequate input from the legislature and that the plans would have a far- 
reaching effect, particularly on the economic growth of the state. Since the Joint 
Committee on Administrative Rules was already reviewing various portions of these plans 
which were being proposed as rules by the Illinois Environmental Protection Agency and 
the Pollution Control Board, it was considered appropriate to place this more 
comprehensive review under the Joint Committee. 

The resolution creating the special joint subcommittee, House Joint Resolution 16, 

as it was passed by the General Assembly reads as follows: 

WHEREAS, The United States Environmental Pro- 
tection Agency is currently requiring the State of 
Illinois to develop standards, plans and policies to 
implement federal programs and standards under the 
Clean Air Act of 1977 and Section 208 of the Clean 
Water Act, which will have a significant impact on the 
industry and citizens of the State of Illinois; and 

WHEREAS, The Illinois Environmental Protection 
Agency and other federally-designated agencies within 
the State are currently developing such standards, 
plans, and policies; and 

WHEREAS, Such plans must be submitted by the 
Governor of Illinois to the United States Environmental 
Protection Agency; and 

WHEREAS, A significant portion of the plans 
involve standards which will be presented to the Pollu- 
tion Control Board for adoption as state rules, and may 
additionally commit the State to further legislative 
enactments; and 



113 



WHEREAS, The General Assembly is concerned 
that the public be fully informed and provided an 
opportunity to present their views on these plans, 
standards and policies; therefore, be it 

RESOLVED, BY THE HOUSE OF REPRESENTA- 
TIVES OF THE EIGHTY-FIRST GENERAL ASSEMBLY 
OF THE STATE OF ILLINOIS, THE SENATE CONCUR- 
RING HEREIN, that a special joint subcommittee of the 
Joint Committee on Administrative Rules be created to 
be composed of eight members of the House and 
Senate, two each appointed by the Speaker of the 
House, the Minority Leader of the House, the President 
of the Senate, and the Minority Leader of the Senate; 
and be it further 

RESOLVED, That the special joint subcommittee 
review the proposed standards, plans and policies being 
developed for submission to the United States Environ- 
mental Protection Agency under the Clean Air Act of 
1977 and Section 208 of the Clean Water Act; and be it 
further 

RESOLVED, That the special joint subcommittee 
hold public hearings, examine relevant federal 
standards and programs, consider the economic impact 
on Illinois industry and citizens of proposed standards, 
plans and policies, and gather such other information 
and views as may be necessary; and be it further 

RESOLVED, That the special joint subcommittee 
make recommendations before June 1, 1979, to the 
Illinois Environmental Protection Agency, the Governor 
and the Pollution Control Board concerning the 
implementation of such standards, plans and policies in 
Illinois and to the Joint Committee on Administrative 
Rules and the General Assembly concerning possible 
action in the review of rulemaking containing such 
standards, plans or policies and possible legislation. 



The members appointed by the legislative leaders to this special joint subcommittee 
are listed in Table Fifteen. Representative J. Theodore Meyer, who was the sponsor of 
House Joint Resolution 16, was elected Chairman of the subcommittee at its first meeting 
in May 1979. Senator John L. Knuppel, Senate sponsor of the resolution, was elected 
Vice-Chairman. 

Hearings 

The subcommittee held several hearings on the State Implementation Plan for Air 
Quality and on the Water Management Plan. Representatives from the Illinois Environ- 



114 



TABLE SIXTEEN 



MEMBERS OF THE HOUSE JOINT RESOLUTION 16 SUBCOMMITTEE 



Appointed by the Speaker of the House: 
Representative Michael F. McClain 
Representative Harry "Bus" Yourell 

Appointed by the House Minority Leader: 
Representative John W. Hallock, Jr. 
Representative J. Theodore Meyer (Chairman) 

Appointed by the President of the Senate: 
Senator Vince Demuzio 
Senator John L. Knuppel (Vice-Chairman) 

Appointed by the Senate Minority Leader: 
Senator Adeline J. Geo-Karis 
Senator Robert W. Mitchler 



115 



mental Protection Agency and the Pollution Control Board presented background informa- 
tion on the development of the plans and responded to inquiries concerning specific 
provisions included in the plans. Numerous business representatives presented their 
viewpoints on the plans, pointing out some important areas where the plans will have 
serious effects. Representatives of federal agencies, state regional planning agencies, 
local governmental units, multi-state planning agencies, and other interested groups also 
testified. 

The issues and questions explored by the subcommittee during these hearings are 
presented in the following outline: 

I. Legal authority for adoption of the plans 

Do any of the provisions of the plans, including proposed regulatory actions, 
exceed the authority of the state agency under state law? 

To what extent can, are, or should these state agencies act as agents of the 
federal government in adopting these regulatory plans under federal 
authority? 

What is the authority for and the legal effect of a state agency "promising" 
passage of new legislation as part of a plan submitted to the federal 
government? 

To what extent does federal authority pre-empt state authority in relation 
to these plans? 

n. Economic impact of the plans 

Have the agencies involved accurately assessed the economic impact of the 
plans? 

Have the agencies involved adequately considered the economic impact of 
the plans? 

Has the cummulative economic effect of the plans been assessed and 
considered as well as the effect of individual regulations? 

Have the differential economic effects on different economic groups, 
including industry, agriculture and consumers been assessed and considered? 

III. Reasonableness and necessity of the plans 

Do the plans impose any requirements which are impossible for the affected 
persons to comply with and are thus unreasonable? 

Are each of the regulatory provisions of the plans directly related to some 
public need? 



116 



Would any adverse effects on public health, safety or welfare result from 
not imposing any of the provisions of the plans? 

Have the agencies adequately considered whether voluntary rather than 
mandatory regulatory programs will achieve the public need? 

Are regional differences in the plans necessitated by demonstrable demo- 
graphic, economic or other differences between these areas? 

IV. Procedural adequacy in adoption of the plans 

Did the agencies involved adequately collect and consider public comments 
on the plans and all alternatives to the programs included in the plans? 

Was the interaction between state and federal authorities proper during 
development of the plans? 

Were relevant regional differences adequately assessed and considered 
during development of the plans? 

What will be the extent of updating or revisions to the plans expected during 
the next several years and was the opportunity for such updating and 
revisions considered in proposing these initial plans? 

The diversity of viewpoints presented on these issues in the subcommittee's hearings 
provided a basis for the subcommittee's considerations. 

Although the purpose of the project was a broad overview of these plans and their 
relationship to regulatory activities, the subcommittee explored some specific issues and 
provisions of the plans in depth. Among the specific provisions which were examined in 
more detail in the Water Management Plan were (1) the soil erosion control program 
proposed for the Department of Agriculture, (2) the implementing role proposed for the 
Northeastern Illinois Planning Commission and (3) the relationship of the plan to federal 
funding of the Chicago area deep tunnel and reservoir project proposed by the 
Metropolitan Sanitary District. In the Air Quality Implementation Plan provisions which 
were focused on by the subcommittee included (1) the feasibility of the dust (fugitive 
particulate) control program regulating such industries as aggregate mining, (2) the 
accuracy of the projections of the economic impact of additional regulation of bulk 
petroleum terminals and facilities, (3) the requirement of offsetting emission reductions 
for permitting new air pollution sources, and (4) the growth allowance in permitting new 
air pollution sources. Other specific issues involving various aspects of the plans were 
also explored in some detail. 

Report and Recommendations 



117 



The subcommittee is currently developing its report to the Joint Committee and the 
General Assembly. It is anticipated that legislative recommendations of the 
subcommittee will be introduced during the 1980 legislative sessions. 

The activities of the subcommittee have also been useful in aiding in the Joint 
Committee's review of specific rules proposed by the Illinois Environmental Protection 
Agency and Pollution Control Board to implement the Air Quality Plan. Alternative Bills 
Thirteen (pages 283-287), Fourteen (pages 289-293), Fifteen (pages 295-298) and Sixteen 
(pages 299-302), which have resulted from these reviews, were aided by the 
subcommittee's activities. 

It is expected that the subcommittee's final report and recommendations will be 
presented to the General Assembly by March 1980. Throughout its study, the 
subcommittee has made recommendations and suggestions to the Governor, the 
appropriate state agencies, the Joint Committee, and the General Assembly in accordance 
with the authorizing resolution. 



PROCEDURAL LEGISLATION 



Based on its experiences in reviewing proposed rulemaking, the Joint Committee 
proposed several bills during 1978 and 1979 to improve the rulemaking process and to 
strengthen the Joint Committee's impact on rules. House Bills 1196 and 2226 were 
enacted during the 1979 legislation session and have resulted in some improvements in the 
proposed rulemaking review process. Senate Bill 419 was also enacted to clarify the fact 
that rules must include adequate standards for exercising discretionary powers of an 
agency. 

Continuing its efforts to improve the rulemaking process, the Joint Committee is 
recommending several additional pieces of procedural legislation for consideration by the 
General Assembly during 1980. The provisions of Senate Bill 307 are being re-introduced 
in new legislation by the Joint Committee members and further consideration by the 
General Assembly of House Bill 1503 is also being urged. 

Each of these legislative recommendations is discussed in some detail in this 
section. A summary of all the enacted amendments to the Administrative Procedure Act 
to date is also provided in this section. 

Proposed Rulemaking Process ; 

House Bills 1196 and 2226 and Senate Bill 419 

Both House Bill 1196 and 2226, which were recommended by the Joint Committee, 
were enacted during 1979. Each of the bills makes a significant contribution to improving 
the proposed rulemaking process. 

House Bill 2226 (Public Act 81-1044) was sponsored by Representative Harry "Bus" 
Yourell (D.-Oak Lawn), who served as Chairman of the Joint Committee from 1977 to 
1979. The provisions included in this bill were largely an outgrowth of proposals made by 
the Joint Committee in amendments to House Bill 16 in 1978. The major change made by 
these provisions is the requirements of an additional 45-day notice period solely for 
review of the rulemaking by the Joint Committee. Some changes were also made by the 



119 



bill in peremptory and emergency rulemaking procedures. These changes are discussed in 
more detail in the section of this annual report on review of proposed rulemaking (pages 
35-37). 

The economic impact of rules is the focus of House Bill 1196 (Public Act 81-1035). 
It was sponsored by Representative Jim Reilly (R.-Jacksonville), currently Second Vice- 
Chairman of the Joint Committee. As introduced, the bill would have required each 
agency to consider the economic effects of each proosed rulemaking prior to its proposal. 
The bill also clarified the meaning of "economic impact" by adding three specific factors 
which should be considered: (1) direct effect on regulated persons, (2) effect on the 
agency's budget and the budgets, of other state agencies, and (3) effect on state revenues. 

The major provision of the bill was revised and amended into House Bill 2226. This 
provision allows the Joint Committee to require a statement of the economic and 
budgetary effects from an agency on any proposed rulemaking. 

One of the Joint Committee's major emphases in reviewing proposed rules has been 
insuring that agency rules contain clear standards for exercising discretionary powers. 
Senate Bill 419 (Public Act 81-1129) which was included in the Joint Committee's 1978 
Annual Report as Recommended Bill One, was enacted to specify this legal requirement in 
statutory language. 

Senate Bill 419 was sponsored by Senator Prescott E. Bloom (R.-Peoria), the current 
Chairman of the Joint Committee. The main provision of the bill reads: 

Each rule which implements a discretionary power to be 
exercised by an agency shall include the standards by 
which the agency shall exercise the power. Such 
standards shall be stated as precisely and clearly as 
practicable under the conditions, to inform fully those 
persons affected. 

This simple language should aid in insuring that agency's proposed rules inform the public 
about the basis on which an agency will exercise its discretionary powers. 



120 



Copies of House Bills 1196 and 2226 and Senate Bill 419 as enacted are included in 
Appendix B (pages 319-336). 

Strengthening Proposals : 

Senate Bill 307 and House Bill 1503 

The Joint Committee during 1979, perceived the need to strengthen its authority in 
the review of proposed rulemaking. This perception was based on two difficulties the 
Joint Committee experienced. 

In some situations involving rules with a broad public impact, agencies refused to 
modify the rulemaking in response to the Joint Committee's objections. The Department 
of Revenue's rules implementing the tax exemption for manufacturing equipment serves 
as an example of this situation. In such cases, recommending legislation and supporting it 
in the General Assembly is time-consuming and in the meantime the public is being forced 
to comply with rules which the Joint Committee believes are improper. 

The second type of difficulty has arisen in situations in which remedial legislation 
simply is not appropriate. In some of these situations, the Joint Committee has passed 
resolutions urging action by the appropriation committees of the legislature or other 
officials. This has not been entirely satisfactory. The totally unnecessary rules of the 
Commerce Commission concerning "offshore" pipelines (see page 63 in the 1978 Annual 
Report) are a good example of this type of problem. 

The Joint Committee staff prepared a paper which outlined various "alternatives for 
strengthening legislative review of administrative rules in Illinois." These alternatives 
were considered by the Joint Committee during the early months of 1979 and several 
proposals, including House Bill 1196 as well as Senate Bill 307 and House Bill 1503, were 
recommended to the General Assembly. A copy of the staff paper is presented in 
Appendix E (pages 389-396). 

Although Senate Bill 307 and House Bill 1503 take quite different approaches, both 
are intended to increase the responsiveness of agencies to the Joint Committee's 
objections. Senate Bill 307 takes an indirect approach by removing the judicial 



121 



presumption of validity accorded administrative rules. It actually focuses on the harm 
done by improper agency rules to the public by making it easier for members of the public 
to overturn agency rules in a judicial challenge. House Bill 1503 takes the more direct 
approach to this issue by giving the Joint Committee a "veto" power over proposed and 
existing rules which are found to be seriously objectionable. 

House Bill 1503, which is sponsored by Representative Harry "Bus" Yourell (D.-Oak 
Lawn) who served as Chairman of the Joint Committee from 1977 to 1979, is being 
actively considered by the General Assembly. This bill appears as Recommended Bill Two 
and is discussed in the section of this report which presents all the Joint Committee's 
recommended bills (see pages 159-168). 

During the 1979 legislative session the General Assembly passed Senate Bill 307, 
which was sponsored by Senator Prescott E. Bloom (R.-Peoria), the current Chairman of 
the Joint Committee. The bill was vetoed by the Governor primarily on the belief that 
the bill violated the separation of powers between the legislative and executive branches. 
The Joint Committee recommended to the General Assembly that the veto be overridden 
because of the importance of the purpose of the bill. The veto was overridden in the 
Senate, but the motion to override did not receive the required three-fifths majority in 
the House. 

The Joint Committee is recommending to the General Assembly that the provisions 
of Senate Bill 307 be considered again during 1980. Recommended Bill One (see pages 
155-158) will be introduced by the Joint Committee to allow this reconsideration. 

Revisory Legislation 

The Joint Committee has been developoing some comprehensive revisory legislation 
to remedy some remaining difficultues with the definition of "state agency" in the 
Administrative Procedure Act (Section 3.01) and the applicability of the Act. This effort 
has involved an attempt to identify all the rulemaking authorizations in the statutes. This 
comprehensive revisory effort has not been completed at this time. 

The Joint Committee is recommending one minor bill affecting the applicability of 
the Act. Recommended Bill Three (pages 169-170) would remove soil and water 



122 



conservation districts from coverage by the Act. A summary of the bill is on pages 150- 
151. 

Summary of Amendments 

to the Administrative Procedure Act 

Since the Administrative Procedure Act has been amended a number of times since 
its initial passage in 1975, it may be useful to summarize all these amendments. This 
should aid in reconstructing the Act at a given point in time, and also in understanding the 
evolution of the requirements included in the Act. 

Table Sixteen presents a chronological list of the six bills or public acts which have 
affected the Administrative Procedure Act. The Table gives a very brief summary of the 
main provisions of each of the public acts as well as the passage, approval and effective 
dates. 

The specific sections of the Act affected by each of the subsequent amendatory 
Acts are indicated in Table Seventeen. This table should be useful in examining any 
specific section of the Act. 



123 



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TABLE EIGHTEEN: SPECIFIC SECTIONS OF THE ILLINOIS ADMINISTRATIVE PROCEDURE ACT 

AFFECTED BY PUBLIC ACTS 



Public Act Number: 


79-1083 


80-1035 


80-1457 


81-1044 


81-1035 


81-112! 


Bill Number: 


HB981 


HB14 


HB15 


HB2226 


HB1196 


SB419 


Effective Date: 


9/22/75 


9/27/77 


1/1/79 


10/1/79 


1/1/80 


1/1/80 


Sections of the 














Administrative 














Procedure 1 


Added 












Act 2 


Added 


Amended 


Amended 








3 


Added 












3.01 


Added 




Amended 








3.02 


Added 


Amended 










3.03 


Added 












3.04 


Added 












3.05 


Added 












3.06 


Added 












3.07 


Added 












3.08 


Added 












3.09 


Added 


Amended 










4 


Added 


Amended 










4.01 




Added 




Amended 






4.02 












Added 


5 


Added 


Amended 




Amended 






5.01 








Added 






5.02 








Added 






5.03 








Added 






6 


Added 


Amended 




Amended 






6.01 








Added 






7 


Added 


Amended 


Amended 








7.01 




Added 










7.02 




Added 


Amended 








7.03 




Added 










7.04 




Added 




Amended 


Amended 




7.05 




Added 




Amended 






7.06 




Added 




Amended 






7.07 




Added 




Amended 






7.08 




Added 






Amended 




7.09 




Added 










7.10 




Added 










8 


Added 












9 


Added 












10 


Added 












11 


Added 












12 


Added 












13 


Added 












14 


Added 


Amended 










15 


Added 


Amended 










16 


Added 


Amended 










17 


Added 












18 


Added 












19 


Added 


Repealed 










20 


Added 












21 


Added 













125 



CODIFICATION PROGRESS 



One of the difficulties faced by members of the public in attempting to locate rules 
of Illinois State agencies which affect them is the lack of a uniform system of numbering 
and a uniform format of the rules. Many states have published comprehensive 
administrative codes which include all the rules of the state agencies in that state. The 
federal government publishes the Code of Federal Regulations , which contains all the 
rules of federal agencies, although the Federal Administrative Procedure Act defines 
"rule" more narrowly than the the Illinois Administrative Procedure Act. 

The provisions of the Illinois Administrative Procedure Act require each state 
agency to publish a compilation of its rules by October 1, 1980. These compilations should 
increase public access to agency rules, but the problems of lack of uniformity in format 
and numbering and the lack of comprehensive indexing across the rules of all state 
agencies will still exist. 

To move in the direction of uniformity and increased public access to rules, a 
provision was added to the Administrative Procedure Act in 1978 (Public Act 80-1457), 
which requires the Secretary of State to develop a uniform codification system. This 
provision in Section 7 of the Act reads: 

(c) The Secretary of State shall, by rule, prescribe a 
uniform system for codification of rules on or before 
July 1, 1980. AU rules on file with the Secretary of 
State and in effect on July 1, 1984, shall be in 
compliance with the uniform system for the 
codification of rules. The Secretary of State shall not 
adopt any codification system under this subsection 
without the approval of the Joint Committee on 
Administrative Rules. Approval by the Joint 

Committee shall be conditioned solely upon establishing 
that the proposed codification system is compatible 
with existing electronic data processing equipment and 
programs maintained by and for the General Assembly. 
[IU.Rev.Stat.l977,ch.l27,par.l007(c)] 

The three provisions of this subsection concern (1) development and adoption of the 
codification system by the Secretary of State, (2) compliance of all rules with the 
codification system, and (3) approval of the codification system by the Joint Committee. 



127 



The Joint Committee has worked closely with the Secretary of State in the 
development of an effective and workable codification system. In the fall of 1979, the 
Secretary of State established a task force of staff members from various divisions of his 
office, along with staff members from the Joint Committee and the Legislative 
Information System. The task force was assigned the job of developing an initial outline 
of the codification sytem. A list of the members of the task force is presented in Table 
Nineteen on the next page. 

The codifiction task force has had numerous meeting since its formation. It has met 
with law librarians, computer technologists, legal publishers, and other interested groups 
to gain a broad perspective on the tasks which would be involved if the Geneal Assembly 
determines that computerization of the rules and publication of an Illinois Administrative 
Code are useful continuations of the codification project. The task force has also 
considered legislative changes to implement such computerization and publication of the 
codified rules. Making sure that the codification scheme is compatible with such possible 
developments has been a concern of the task force. 

The primary work of the task force, however, has focused on the actual detailed 
specification of a codification scheme which can organize intelligibly all the 
administrative rules of all the Illinois state agencies. A system utilizing broad subject 
areas as the basic unit of organization is the direction in which the task force is moving. 
The classification of all state agency rules into substantive and functional categories 
completed by the Joint Committee as the basis of the five-year review program has been 
a valuable resource for the codification task force. 

A test sample computerization of several segments of the codification is also 
underway. This test will ensure the compatibility of the codification scheme with the 
computer equipment and programs operated by the Legislation Information System. The 
task force participants from the Legislative Information System are conducting this phase 
of the project. 

It is anticipated that the final codification scheme recommended by the task force 
will be published as a proposed rule by the Secretary of State in March or April, 1980. 



128 



TABLE NINETEEN: AD HOC RULE CODIFICATION TASK FORCE PARTICIPANTS 



Secretary of State 

Central Office 

Herman Bodewes 
Index Department 

Donald Ed 

John Hofferkamp 
Rules Division 

T.C. Christian 
Data Processing Department 

Roy Reynolds 
State Library 

Mary Redmond 

Ellen Holyroyd 

Legislative Information System 

Walter J. Kesselman 
Allan Burgard 
George Russell 

Joint Committee on Administrative Rules 

Bruce A. Johnson 
Kenneth E. Mitchell 



129 



This will allow time for input from the public and state agencies as well as for approval by 
the Joint Committee. 

This project should result in greater accessibility of rules to the affected public as 
well as contributing eventually to the efficiency of the rulemaking process itself. 



130 



COURT DECISIONS AND ATTORNEY GENERAL OPINIONS 



Since the Joint Committee's function is closely related to the interpretation of the 
Hlinois Administrative Procedure Act, the Joint Committee monitors and reports on court 
decisions and Attorney General opinions which affect the interpretation of the Act. One 
of the enumerated responsibilities of the Joint Committee under the Act is "to study the 
impact of legislative changes, court rulings and administrative action on agency rules and 
rulemaking" [Section 7.05(3)] . The Public Act review discussed on pages 89-92 is another 
apsect of this monitoring function. 

This monitoring function in relation to judicial rulings is especially useful in relation 
to the scope of the applicability of the Act. The decisions and opinions discussed in this 
section relate to the scope of definitions of "rule" and "agency" in the Act as well as the 
issue of the scope of rulemaking authority granted under other statutes. These are 
important issues to agencies and to the Joint Committee. 

Although several court decisions in Illinois in 1979 have cited various provisions of 
the Illinois Administrative Procedure Act, only one circuit court decision merits 
discussion here. In Stephen v. Quern , No. 78L975 (6th Cir. 111. 1979), the plaintiff was a 
recipient of public aid. The Department of Public Aid issued a directive to its employees 
which stated a new formula for determining a recipient's income. A recalculation of the 
plaintiff's income based on this new formula led to a reduction in her Pulbic Aid grant. 
The plaintiff challenged the use of this new formula because it had not been published as a 
rule pursuant to the requirements of the Illinois Administrative Procedure Act. The court 
ruled in favor of the plaintiff and held that the formula was invalid because it had not 
been adopted in accordance with the procedures in the Act. 

The Department argued that the formula was not a rule because it was not of 
general applicability and did not implement, apply, interpret or prescribe policy. This 
argument involved the basic definition of rule in Section 3.09 of the Act. However, 
counsel for the Department admitted the formula applied statewide. It was also clear on 
its face that the formula involved policy. This argument was not seriously considered by 
the court. 



13 



The defendants also raised the issue that this formula was a statement that 
concerned only internal management of the agency and did not affect private rights of 
persons outside the agency and was thus exempt from the rulemaking procedure under 
Section 3.09(a) or Section 5(c) of the Act. By its terms, this statement of policy was 
addressed only to agency employees and directed to employees on how to do their job. 
However, that was not its only effect. Besides controlling how the employees performed 
their task of determining an applicant's income, this rule also affected the amount an 
applicant could receive as a grant from the agency. It clearly had a direct effect on the 
private rights of an individual and the court so held. 

This case simply applies the Act in a proper manner. It is a clear statement by a 
court that statements that deal with both internal management and an individual's rights 
are subject to the notice and publication requrements prescribed in the Act. Thus, the 
limited exception in Section 3.09 of the Act which excludes from notice and publication 
requirements those statements which affect only the internal management of an agency is 
maintained. Any other interpretation of this Section would have created a gaping hole in 
the Act and allowed agencies to promulgate large bodies of rules affecting private rights 
without following the rulemaking procedure. The order in this case is presented in 
Appendix G (pages 409-411). 

The Attorney General has issued several opinions in the past year dealing with 
administrative rulemaking. Two in particular affected the work of the Joint Committee. 
One of these opinions was requested by the Joint Committee. The Attorney General was 
asked whether, in his opinion, the Northeastern Illinois Planning Commission was subject 
to the requirements of the Illinois Administrative Procedure Act. The Attorney General 
concluded in opinion S-1434 that the Act did not apply to this Planning Commission. 

The conclusion reached by the Attorney General was based primarily on an earlier 
opinion that office had issued in 1974 which had concluded that the Planning Commission 
was not subject to the executive authority of the Governor. However, the fact that a 
commission is not a state agency subject to the control of the executive branch does not 
necessarily support the conclusion that the commission is not subject to the provisions of 
the Illinois Administrative Procedure Act. 

Section 3.01 of the Act, which was amended by PA 81-1457 during 1979, defines 
agencies. It states: 



132 



Section 3.01 AGENCY. "Agency" means each officer, 
board, commission and agency created by the 
Constitution, whether in the executive, legislative, or 
judicial branch of State government, but other than the 
commission, agency, institution, authority, university, 
body politic and corporate of the State; and each 
administrative unit or corporate outgrowth of the State 
government which is created by or pursuant to statute, 
other than units of local government and their officers, 
school districts and boards of election commissioners; 
each administrative unit or corporate outgrowth of the 
above and as may be created by executive order of the 
Governor. However, "agency" does not include: 

(a) the House of Representatives and Senate, and 
their respective standing and service committees; 

(b) the Governor; and 

(c) The justices and judges of the Supreme and 
Appellate Courts. 

No entity shall be considered an "agency" for the 
purposes of this Act unless authorized by law to make 
rules or to determine contested cases. 

The Attorney General emphasized the language, "each administrative unit or 
corporate outgrowth of the state government which is created by or pursuant to 
statute...." The opinion concluded that since it was not subject to the authority of the 
Governor and was not considered part of state government, the planning commission was 
not an agency. 

This conclusion ignores the language in the Act which includes in the definition of 

agency "each officer, department, board, commission, agency, institution, authority, 

university, body politic and corporate of the State...." The Northeastern Planning 

Commission was created by the Northeastern Illinois Planning Act, 111. Rev. Stat. 1977, 

ch. 85, par. 1001 et seq., as amended. Section 2 of the Act, HI. Rev. Stat. 1977, ch. 85, 

par. 1102, states, in part, "It is necessary to create an agency authorized to develop and 

adopt such comprehensive plan...." Section 4 of that Act, 111. Rev. Stat. 1977, ch. 85, par. 

1104, states: 

There is created a body politic and corporate by the 
name and style of Northeastern Illinois Planning 
Commission to exercise the powers and duties precribed 
by this Act for such Commission. 



133 



While arguably this body is not a corporate outgrowth of State government, by the 
terms of the Act which created it, it is an agency whose sole purpose is to carry out 
activities for the benefit of the State. It is authorized to adopt rules and regulations, and 
the Attorney General's opinion recognized that none of the other exceptions to the Illinois 
Administrative Procedure Act applied to this planning commission. It would appear that a 
more correct interpretation of the Act would be that its provisions do apply to the 
Northeastern Illinois Planning Commission and similar planning commissions established 
by the legislature. 

Another Attorney General opinion (S-1409) was issued in response to a request by 
the Environmental Protection Agency after the Joint Committee objected to the agency's 
adoption of technical policy statements concerning public water supplies as rules. The 
basis for the objection was that only the Pollution Control Board and not the agency had 
the authority to adopt these technical policy statements. 

This controversy is based on the interpretation of certain provisions of the 
Environmental Protection Act (m. Rev. Stat. 1977, ch. Ill 1/2, par. 1001 et. seq.). The 
Pollution Control Board may adopt regulations governing the location, design, 
construction, and continuous operation and maintenance of public water supply 
installations, charges or additions which may effect the continuous sanitary quality, 
mineral quality or adequacy of the public water supply, pursuant to Title VII of this Act. 
Section 15 of the Act requires owners of public water systems to apply to the agency for 
permits and Section 16 vests in the agency the authority to approve these permits if the 
agency determines that the systems are satisfactory. Section 4(g) of the Environmental 
Protection Act vests in the agency the duty to administer permit and certification 
systems. Section 4(j) provides that the agency may make recommendations to the board 
for the adoption of regulations under Title VII of the Act. Title VII establishes the 
procedures the Pollution Control Board should use to adopt substantive regulations. 

The Pollution Control Board adopted Rule 21 2 A which states: 

The Agency may adopt criteria, published in the form 
of Technical Policy Statements, for the design, 
operation, and maintenance of public water supply 
facilities as necessary to insure safe, adequate, and 
clean water. These criteria shall be revised from time 
to time to reflect current engineering judgment and 
advances in the state of the art. 



134 



The Joint Committee interpreted these sections of the Act to mean that the agency 
was without statutory authority to adopt the substantive requirements included in these 
technical statements as rules but could only recommend their adoption to the board. The 
Joint Committee further contended that the Rule 21 2 A of the Pollution Control Board 
was an attempt to redelegate its authority to a separate agency and, therefore, Rule 212A 
is invalid. 

The Attorney General, on the other hand, interprets these sections of the Act to 
vest in the agency authority to adopt rules to administer the permit system, including 
these technical policy statements. Based on this interpretation of the Act, Rule 212A is 
not a redelegation of authority, but is a directive to the agency to carry out its statutory 
authority to establish technical policy statements concerning public water supplies. The 
relationship between the board's and the agency's rulemaking authority under the Act is 
unclear in this interpretation. 

Both of the Attorney General opinions discussed here are included in Appendix F 
(pages 397-408). 



135 



RESULTS OF 1978 LEGISLATIVE RECOMMENDATIONS 



Based on proposed rulemaking reviews during 1978, the Joint Committee introduced 
21 bills during the 1979 legislative session to address specific substantive problems. Each 
of these recommended pieces of legislation were included in the Joint Committee's 1978 
Annual Report. The Joint Committee also introduced during the 1979 legislative session 
five bills to amend the Administrative Procedure Act to improve the rulemaking process 
and strengthen the effectiveness of the Joint Committee's review. 

This section is intended to present the results of these legislative recommendations, 
which were acted on by the General Assembly during 1979. Table Twenty (page 138) 
presents a statistical summary of action by the General Assembly and the Governor on 
these recommended bills. The percentages presented in the table indicate a high rate of 
success for Joint Committee supported legislation. 

Tables Twenty-One (pages 139-144) and Twenty-Two (pages 145-147) present the 
results on the individual bills in some detail. Table Twenty-One concerns the 
recommended substantive bills, while Table Twenty-Two deals with the recommended 
amendments to the Administrative Procedure Act. The summaries indicate the basic 
content of each of the bills as related to the Joint Committee's concerns, but amendments 
during the legislative process may have altered the content of the legislation. 
Particularly significant amendments are indicated in the comments. 



137 







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E 



LEGISLATIVE RECOMMENDATIONS 



The Joint Committee is recommending nine bills for the consideration of the 
General Assembly during 1980, as a result of its activities during 1979. Sixteen additional 
alternative bills are included in the next section of this report. The Joint Committee is 
required to include these specific legislative recommendations in its annual report to the 
General Assembly. Section 7.10 of the Administrative Procedure Act states that the 
Joint Committee's annual report to the General Assembly shall consist of "findings, 
conclusions and recommendations including suggested legislation." The presentation of 
recommended legislation in this section fulfills this requirement. 

Each of the recommended bills is discussed in this section. The recommended 
procedural bills, most of which amend the Administrative Procedure Act, are discussed 
first. Then each of the recommended substantive bills resulting from the review of 
specific rulemakings is discussed. Three procedural bills and six substantive bills are 
being recommended. 

Copies of each of the recommended bills follow the discussion. 

Procedural Bills 

Recommended Bill One (pages 155-158) 

Background: During 1978, the Joint Committee became 
concerned about the lack of responsiveness of agencies 
to the objections issued by the Committee. An 
increased number of agencies were refusing to 
withdraw or modify proposed rulemakings in response to 
objections issued by the Joint Committee. During 1979, 
the Joint Committee introduced Senate Bill 307 
sponsored by Senator Prescott E. Bloom to increase 
agency responsiveness. The bill would have reversed 
the burden of proof in any judicial challenge involving 
an agency rule found objectionable by the Joint 
Committee. The threat to an agency of being unable to 
support such rules in a court and having them 
overturned would increase the agency's willingness to 
change rules to comply with the Joint Committee's 
objections. 

The bill received favorable action by the General 
Assembly, but was vetoed by the Governor. The 
General Assembly failed to override the veto. The 
Joint Committee is recommending further 
consideration of this bill (see pages 121-122). 
Recommended Bill One is identical to Senate Bill 307. 



149 



Summary: Amends the Illinois Administrative 

Procedure Act to provide that the burden of proof is on 
an administrative agency where judicial review involves 
a rule objected to by the Joint Committee on 
Administrative Rules. 



Recommended Bill Two (pages 159-168) 

Background: Like Recommended Bill One, this bill was 
developed as a result of the growing concern by the 
Joint Committee members that agencies were not being 
responsive to the current advisory objections issued by 
the Joint Committee. During 1979, following the 
recommendation of the Joint Committee, House Bill 
1503 was introduced by Representative Harry "Bus" 
Yourell. Recommended Bill Two is identical to House 
Bill 1503. It provides for a very strong mechanism to 
control administrative rulemaking. Under this proposal, 
the Joint Committee would have veto authority over 
proposed rules subject to being overturned by the 
General Assembly. The Joint Committee recommends 
serious consideration of this bill by the General 
Assembly during 1980. 

Summary: Amends the Administrative Procedure Act. 
Establishes a veto power for the Admnistrative Rules 
Joint Committee as an alternative to the existing 
power to issue a statement of objections. The veto 
power requires a finding by the Committee that the 
rule constitutes a serious threat to the public interest, 
safety or welfare. The veto may be issued either 
before the rule is adopted or a rule may have its 
effectiveness suspended within 60 days after it becomes 
effective. Under this provision, the Joint Committee 
may also suspend the effectiveness of emergency or 
federal or court ordered rules. Provides for the 
overturning of the Committee's action by passage of a 
joint resolution by the General Assembly. Allows the 
Committee to require rulemaking where an agency has 
developed a written or unwritten policy and such policy 
is of serious public concern. 



Recommended Bill Three (pages 169-170) 

Background: In 1977, an amendment to the Soil and 
Water Conservation Districts Act made the 
Administrative Procedure Act applicable to the rules 
adopted under the Act by the Department of 
Agriculture and the soil and water conservation 
districts. This amendment was one of numerous amend- 
ments passed in 1977, making the Administrative 



150 



Procedure Act applicable to numerous agencies and 
programs. 

The inclusion of the soil and water conservation 
districts, however, seems inadvisable because of their 
nature as units of local government. The 

Administrative Procedure Act excludes units of local 
government from coverage by the definition of 
"agency" in Section 3.01. This recommended legislation 
is intended to resolve this discrepancy by removing the 
districts from coverage. 

Summary: Amends the Soil and Water Conservation 
Districts Act to exclude rules adopted by the districts 
from coverage by the Administrative Procedure Act. 

Substantive Bills 

Recommended Bill Four (pages 171-173) 

Agency: Department of Agriculture 

Rulemaking: Regulation V - Indemnity - Pursuant to 
the Illinois Bovine Brucellosis Eradication Act (for Joint 
Committee objection, see pages 41-42) 

Background: The Department of Agriculture proposed 
rules in June 1979, which concerned indemnity pursuant 
to the Illinois Bovine Brucellosis Eradication Act. This 
program involves payments to owners of animals which 
are destroyed in an attempt to eradicate bovine brucel- 
losis. The Joint Committee objected to two provisions 
in the rules which technically violated the Act by 
allowing payment for non-infected animals. Although 
the reasoning for the necessity of destroying certain 
nursing female calves and whole herds in some 
situations is compeling, the statute only provides for 
payment "to the owner of each infected animal." This 
recommended legislation is intended to correct this 
technical conflict. 

Summary: Amends the Illinois Bovine Brucellosis 
Eradication Act. Alters the indemnification provision 
to include payment by the State for all dairy or 
breeding cattle whether infected or not, that are 
ordered destroyed by the Department of Agriculture. 



Recommended Bill Five (pages 175-176) 

Agency: Department of Conservation 

Rulemaking: Articles Concerning Hunting and Blind 
Drawings at Various State Parks and Other Areas 
Managed by the Department (for Joint Committee 
objections, see pages 43-46) 



151 



Background: Since May 1979, the Joint Committee has 
objected to two provisions which have been included in 
numerous proposed rules by the Department of 
Conservation. The Department has consistently refused 
to modify the provisions. Both provisions concern age 
limits: The first provision concerns an age limit of 16 
on hunting without being accompanied by an adult, 
while the other provision concerns an age limit of 16 
for eligibility for drawings for blind sites. The Joint 
Committee believes that neither of these provisions are 
authorized by statute. This legislation will specify in 
the statute the age limitations which may be imposed 
by the Department. 

Summary: Amends the Wildlife Code to provide that 
properly licensed hunters under 16 years of age shall be 
accorded the same hunting privileges as hunters of any 
other age and that the Department of Conservation 
may limit eligibility for drawing blind sites to one 
hunter per family. 

Recommended BUI Six (pages 177-181) 

Agency: Department of Financial Institutions 

Rulemaking: Currency Exchange Division Rules (for 
Joint Committee objection, see page 48) 

Background: The Joint Committee objected in April 
1979, to rules proposed by the Department of Financial 
Institutions to regulate currency exchanges under the 
Illinois Currency Exchange Act. The objectionable 
provision concerns a limit on the amount of money 
orders issued by a currency exchange. The Department 
was changing the limit from $500 to $750. The Joint 
Committee believes that the Department lacks the 
statutory authority to set such a limit. This bill would 
remedy this situation by providing the necessary 
authorization. 

Summary: Amends the Currency Exchange Act in 
regard to the rulemaking procedures of the Director of 
Financial Institutions and permits the Director to 
establish money order limits. 

Recommended Bill Seven (pages 183-185) 

Agency: Department of Financial Institutions 

Rulemaking: Division of Financial Planning and 
Management Services (for Joint Committee objection, 
see pages 48-49) 



L52 



. 



Background: In March, 1979, the Department of 
Financial Institutions published new proposed rules to 
implement the Illinois Financial Planning Management 
Service Act. The Joint Committee objected to these 
rules in April for four reasons. The agency modified 
the rules to meet three of the points, but refused to 
modify the rule to remedy the fourth point. This 
remaining point concerns the ability of the Director to 
suspend as well as revoke licenses under the Act. 

Under the Act, the Director has the authority to 
deny applications for licenses (Section 9) and is also 
given discretion to seek injunctions against unlicensed 
persons performing financial planning and management 
services (Seection 17). The revocation provision 
(Section 10), however, is stated in mandatory language - 
- upon certain findings, the Director shall revoke the 
license. Consistent with this context, the additional 
suspension power should be carefully limited to avoid 
delegating unnecessary discretion to the Director. 

Summary: Amends the Financial Planning and 

Management Service Act. Gives authority to Director 
of Financial Institutions to suspend as well as revoke 
licenses upon certain findings of noncompliance with 
the statutory requirements. 

Recommended Bill Eight (pages 187-191) 
Agency: Department of Labor 

Rulemaking: Rules relating to the administration and 
enforcement of the Illinois Child Labor Law (for Joint 
Committee objection, see page 50) 

Background: The Joint Committee in reviewing the 
Department of Labor's proposed rules on the 
administration and enforcement of the Child Labor Law 
noted several apparant internal conflicts in the Act. 
Although the Department modified the rules in response 
to the Joint Committee's objections, legislation is being 
recommended to clarify the Act. The major problem 
concerns conflicts between Section 1 and Section 7 and 
9 of the Act, which make the Act difficult to 
administer. 

Summary: Amends the Child Labor Law by substituting 
for the enumerated list of prohibited occupations for 
minors a general prohibition against the employment of 
minors, under 16 years of age, in any gainful 
occupation without the employer first obtaining an 
employment certificate for the minor. Retains the 
enumerated exceptions to the prohibition. Subjects the 
Department of Labor's rulemaking power and hearings 
procedures to the provisions of the Illinois 
Administrative Procedure Act. 



153 



Recommended Bill Nine (pages 193-195) 



Agency: Pollution Control Board 

Rulemaking: Rules 401 and 405 of Chapter 1: 
Procedural Rules (for Joint Committee objection, see 
page 86) 

Background: The Pollution Control Board proposed 
rules in October 1979, concerning the consistency of 
variances granted by the Board to federal laws and 
regulations. The proposed rules were an amendment to 
the Board's procedural rules. The effect of the rules is 
to require the petitioner desiring a variance to prove 
that the variance is consistent with applicable federal 
laws and regulations. 

The Joint Committee objected to the rules at its 
November 1979, hearing because the statutory language 
appears to place the burden on the Board rather than 
the petitioner. The Joint Committee believes that the 
Board, or the Environmental Protection Agency, has the 
necessary expertise to research and understand the 
federal laws and regulations, which the petitioner may 
not have. 

The Board representative at the Joint Committee 
hearing indicated the uncertainty regarding the 
interpretation of federal laws and regulations, however, 
this uncertainty also exists for the petitioner, who is 
usually in a less favorable position in terms of being 
able to clear up the uncertainty. 

This legislation will clarify the specific section of 
the Illinois Environmental Protection Act in line with 
the Joint Committee's interpretation that the burden 
should be on the Board. 

Summary: Amends the Illinois Environmental 

Protection Act to provide that the burden of proof in 
insuring that variances are consistent with federal laws 
and regulations shall be on the Pollution Control Board, 
rather than the petitioner. Provides that the 
recommendation by the Agency to the Board must 
include an analysis of the federal laws and regulations 
and an opinion concerning whether the variance would 
be consistent with the federal laws and regulations. 



154 



RECOMMENDED BILL ONE 



81st GENERAL ASSEMBLY 
State of Illinois 



1979 and 1980 
BY 



(Ch. 127, par. 1007.04; new par. 1007.071) 

Amends the Illinois Administrative Procedure Act 
to provide that the burden of proof is on an administrative 
agency where judicial review involves a rule objected to by 
the Joint Committee on Administrative Rules. 



LRB8108387RBsh 



A BILL FOR 



155 



L >< B6 1 Ut< 3« /« osn 

ai« nCT to 5"»ric Section 7.0*. of ano to aaa Section i.oll 
to "Ine Illinois ia-ninistrative Oi-oceoure act". BDurovea 
i^Dtemoer 22. 1975. as emenaeo- 

QS LI £2^CiSS !>« rn e p £ gglg_C2 j__XJJS-iX3I,g— gJ-_LU-i.ogj.lj. 

Section i. Section 7.0^ or "Tne Illinois «a"i n i st rat i «e 
froceoure Act". aoDroveo Seote^Der ^^, 1975. as amenoea. is 
amenaeo. ano Section 7.071 is aoaea tnereto. tne aooeo anc 
amenoea Sections to read as follows: 
|Cn. 127. oar. 1007. 0«.) 

Sec. 7.0*.. Tne Joint Committee snail nave tne following 
ioer this *ct= 

Ino tu ner i on of tn e Joint Committee i«« + + — nott 

o««rtofT-ei«ffi-«"+T-fe+att«T-to-Tti-tonttT8n.-»fiftn snail oe 
tne promotion of aaeouate ano orooer rules Oy aoencies ana an 
itanoina on tne Dart of tne ouolic resoectinq sucn 

5_UiO LilOtU-QTi _2_L! D2 df—J-Sgr.* QQiYi £itSgi as. 

iSJ — Le — S £i_L2" _1 i Q ZJL i 

Tne Joint Committee may unoertane stuaies ana 
cations concernina r ul e-max i nq ano aaency rules. 
Tne Joint Committee snail monitor ano mvestiqate 
iance or aoencies witn tne provisions or tnis act. maice 
fj^riooic i nvest i oat i ons of tne rule-makinq activities of ail 
es. ano evaluate ano report on all rules in terms or 
propriety, leoal aoeauac y. relation to statutory 

f fc ts ano Duo i i c 



coma I 



»conomic ana Duooetar 



iv»s t i oat i ons conoucteo Oy tr 



i»ar i nas 

tee uno°r tins »ct may oe ne I at Sucn times ana olaci 
i tne State as sucn Committee oeems necessary; 

' ne Joint Committee snail nave tne sumonu i 

-•"Cf or s no- rul-. amenoment or re^eaiei 



156 



R] 



-2- L>»89 10tt387«Bsn 

v lirarr economic e"ect on tne persons requlats 
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tno cuooets ot otner State agencies; ar\a ar 
anticioateo effects on State revenues: 

d. aoenev's "valuation of tne suomissio 
tne aaencv pursuant to Section S.Ol o» tnis 



tne 



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158 



Rl 



RECOMMENDED BILL TWO 



INTRODUCED . 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
_. BY 



SYNOPSIS: (Ch. 127, 
1007.07) 



pars. 1007.04, 1007.05, 



Amends the Administrative Procedure Act. 
Establishes a veto power for the Administrative Rules Joint 
Committee as an alternative to the existing power to issue a 
statement of objections. The veto power requires a finding 
by the Committee that the rule constitutes a serious threat 
to the public interest, safety or welfare. The veto may be 
issued either before the rule is adopted or a rule may have 
its effectiveness suspended within 60 days after it becomes 
effective. Under this provision the Joint Committee may also 
suspend the effectiveness of emergency or federal or court 
ordered rules. Provides for the overturning of the 
Committee's action by passage of a joint resolution by the 
General Assembly. Allows the Committee to require rulemaking 
where an agency has developed a written or unwritten policy 
and such policy is of serious public concern. 



LRB8105071JSpkA 



A BILL FOR 



159 





I «r,blu507i Japki 




1 


AN AC tc d"»ene Sections 7.0^, 7.J;,, 7. Go ana 7.j7 or 


3 7 


2 


"Th«* Illinois Administrative Proceoure Act", aopronjo 


5c 


3 


September 22. 137b, as amended. 


=»'" 


«. 


Be_i^_enac_ted_Ci_tr>e_Peor i l_ s _of !!e__Sta.te. or liij.Dai.ij. 


c>2 


3 


VI 2L5k2 CLtert__ L n_the_&ener_rj 1 A ssempl y : 


bi 


6 


Section 1. Sections 7.C, 7.05, 7.06 ana 7.J7 or "Tne 


65 


7 


Illinois irjmi n i s t rat i ve Procedure Act", approved Septerroer 


OO 


8 


22, 1975. as amended, are amended to reao as follows: 






[Ch. 127. par. 1007.0'.) 


6d 


9 


Sec. 7.0',. The Joint Committee shall nave tne following 


70 


Id 


powers under this Act: 


71 


I 1 


I* The function of the. Joint C.om.n j_t teg__s.nalj a e. _n_ 


73 


|2 


EC2 m .°Li° r i-_2i-_i5.££ii£L£. and_ proper rules y , a?<?nc i es -jrij jn 


7- 


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79 


" 


er-e»ev,<tB-ef-i«>-(ioti're-d«a-pfefirf-fo4-es— br--85c«tfe3— co--3ft 


oO 


Zo 


uoeefStendtBe— »«--r;h» — ea*tr — of-- -the — poBite-fcsnettTtiq-iocn 


ol 


21 


r«,+e*- 




22 


2. The Joint Committee may undertake studies ano 


03 


23 


i nves t i aat i ons concerning rule-naking and agency rules. 


0<. 


2-. 


3. The Joint Committee snail monitor and investigate 


bo 


27 


cnmnlisnc" of agencies with tne provisions or tnis Act. na.c 


7 


,o 


per i od i c investigations of tne rule-'a^nu activities or c i i 


00 


2? 


aoencies, and evaluate and report on all rults in term., ji 


0, 


2a 


their propriety, lecal aoeouacy, relation to statucory 


9 J 


29 


authorization, economic impact on tnose affected oy tne rule 




30 


and public policy. 


VI 


31 


<.. Hearinas and investigations conducted Py tne Joint 


9j> 


32 


Committee under this Act may be held at Such times and places 


9<. 



L60 



R2 



-2- LRK31u5071Ji P KA 

1 w i t r, , n tn- StfltP as Such Co»nntt»? ceems necessary; 

2 5- Tie Joint Ccmmittee snail hdve tne dutnonty to 

3 reouest Iron any sopncy an analysis of tn^: 

-, a- pffect of a new rule, awnament or rtjeoler ; 

5 t>. aoency's evaluation of tne suomissions presented to 

a the aqency pursuant to Section 3 of tnis act; 

7 c. a description of any .modifications from tne initially 

8 Dublishea proposal made in tne finally accepted version of 

9 the intended rule, amendment or repealer; ana 

10 d- the aoency's justification ana rationale tor tne 

11 intended rule, amendment or repealer. 

(Ch. 127, par- 1007.05) 

12 Sec. 7.05. The Joint Committee shall nave tne following 

13 responsibilities under this Act: 

1-, 1. Tne Joint Committee snail conduct a systematic and 

li continuma study of the rules and rule ma»inq process of all 

lo state aaencies. includinq those agencies not covered in 

17 Section 3.01 of this Act. for tne puroose of improving the 

10 rul--> making process, reducing the numoer afin oulk Of rules. 
|? removina redundancies and unnecessary repetitions ano 
2u correctino grammatical. typographical onj like errors not 

21 affecting the construction or meaning of trie rules. ano it 

22 shall make recommendations to the appropriate affected 

23 aaency. 

2*. 2. The Joint Committee shall review tne statutory 

25 authority on which any administrative rule is oaseo. 

26 3« The Joint Committee shall maintain a review program, 

27 to sruny the inoact of legislative changes! court rulings anu 
2o administrative action on aoency rules and rule makina. 

2 v ii__I r ie_JQ.i n .L_C'2! r .iiiliii i^* r_2.ay.si.i CuLec;aiJ.Qri U.» a.n 

30 agencv in the following c ases : 

31 ( a) wn en_ the Joi_nt_ Commi ttee. l_n__Ih2 CQur se of its 

32 review of a n agency's rules under this A ct . 3er k e.r_m.l.Q£.5 lQa.£ 

3 3 t h ^-_^lhC i ls_rulei_are_J.n t omcLe.t^j_inc.Qnsi^ie.nt,_c. 
3* d£liii£Qli_2r 



I Ufa 

10/ 



112 
I 1<. 



R2 



161 



b3 10b071 jSp* 



1 i?_l «n°n the Joint Committor finds tn^t an aogncj/ naj 

2 2^il'-i2S.!3-_=Ii.tL!!Li qr_ unwritten policy wmcn trie ao»ncy rias 

3 d2t_iil£S-e i -iL5.y^0I_te-t n J.s_»ct_Dut_is__eni_OLcin2i lCai__s.uc.r- 

_2l______-__j;__utes__ ; i__^ule _.__-._li__._____il__.L.___._._s._.___2_._. 

5 tnaT_such_eo^icx_is_of._lgLioiiS_e5JaIl.c _canc_er n.. I0_th1.s_5_a.s__, 

° _:_£[i__h__Jo__t_C__m_t__e_r ____________ a_3.e__<_. £2 _._._._____£ 

7 L2l£!?tiID2_to_§3oBt such policy as a rule, such r°Quest snail 

B be b_____L___-_.2_L-__J__ agency ano_ the agency snjll initiate 

9 rulemaking within QQ days of. Such request ano .snal.l compl e . e 

10 th e _ rulemaking, process within 270 days, of sue" request,. Li 

1 1 the aoencv fails to adpot s uch po licy? sucn poli cy shall 0£ 

12 ___._! !__-___!_ ineffective. a__ prov ideo in subsection [ <; 1 of 

13 ;°ct ion <.. 

ICh. 127. par. 1007.06) 

It Sec. 7.06. (a) The Joint Committee may examine any 

15 proposed rule, amendment to a rule, ano reoeal of a rule for 

10 the ourpose of determining whetner the oroposed rule. 
17 amendment to a rule. or repeal of a rule is mtnin tne 
l j statutory autnority uoon which it is oaseo. wnetner tne rule. 
1 -y amendment to a rule or repeal of a rule is in proper form ano 

20 whether the notice is given prior to its aooption. amendment. 

21 or repeal was sufficient to give adequate notice of tne 

11 purpose and effect of the rule, amendment or repeal. 

Zi (b) If the Joint Committee objects to a proposed rule. 

2<t amendment to a rule, or reoeal of a rule. it shall certify 

23 the fact to the issuing aoency and include witn tne 

26 certification a statement of its spec i f i c . object ions . 

27 (c) If within <•_, days after a proposed rule. amendment 
2- to a rule or repeal of a rule has been ouu I i sr.eo in tne 
2 v Illinois aeoister, the joint Committee certifies its 

30 objections to the issuing agency then tnat agency snail 

31 within 90 days of receipt of the statement of objection: 

32 1. modify the proposed rule, amendment or repealer to 

33 meet the Joint Committee's objections; 

3'» 2- withdraw the proposeo rule, amendment, or repealer in 



1"»B 
1*9 

151 

153 
1 5«i 



l>8 
15<8 



162 



R2 



RBolu&Uil JS^kA 



roposeo rul< 



»al< 



or oDosej rule* 
nt Committee's 
:dtions as are 



(d) If an .irjency elects to modify 
amendment or reoealer to neet trie 
objections, it snail make only such modi 
necessary to meet the cDjections and shall resuomit tne rule, 
amendment or repealer to the Joint Committee. Tne agency 
shall submit a notice of its election to modify a proposed 
rule, amendment or repealer to meet tne Joint Committee's 
objections to the Secretary of State wmcn snail be publisneo 
in the first available issue of trie Illinois Register, but 
shall not be reauired to conduct a public hearing. (e) If 
an aaency elects to withdraw a proposed rule, amenament or 
repealer as a result of the Joint Commitree's objections, it 
shall notify the Joint Committee, in writing, of its election 
and shall submit a notice of the withdrawal to the Secretary 
of State which shall be published in the next availoole issue 
of the Illinois Reoister. 

(f) Failure of an agency to respono to the Joint 
Committee's objections to a proposed rule, amenament or 
repealer. within the time prescribed in suosection (c) snail 
constitute withdrawal of the rule in its entirety. the Joint 
Committee shall submit a notice to tnat effect to tne 
Secretary of State which shall be published in the next 
available issue of the Illinois Register ano the Secretary of 
State shall refuse to accept for filing a certified copy of 
such proposed rule. amendment or reoedler under tne 
provisions of Section 6. 

(a) If an acencv refuses to modify or wicnoraw tne 
proposed rule, amendment or repealer so as to remedy an 
objection stated by the Joint Committee ano the joint 
Committee decides to recommend leoislative action, tnen tne 
Joint Committee shall have drafted and have introduced into 
either house of the ieneral Assembly appropriate legislation 



I9t 
197 



R2 



163 



-5- LKbdiU5U7l J jpM 

1 tc implement the r eccmenOat i ons ot tne Joint Umi ttee. 2u«* 

2 i_l _i______°LG___2______________________t_a___t_o_ ano 211 

3 ____________________ E r _2e___________a____ n jg___2___£E__Le__2_ 212 

*• _°___°___I___E_2_2_________1 ____d_S____2_ _g_____r __ _Q 2 13 

5 ______ _2___-__2____t_-g-__ sepoys ___g_t, £.2 __________ il>* 

° interest, safety or ..elfgret tne Joint Committee Tiav as, a.n £ 

7 _!_._ E£LL2X__t2-_tt!?^ _________L_g_t of such proposefl rule, 2 15 

a amendment or repealer or wi thin 6 Q days _____ _Q£ ______ 2lo 

9 e f fee t of such proposed rul e, am endment or rep ealer issue a 217 

10 s tatement to th at effect. A cert i fie d cop y of Such statement 218 

1 1 ___I_._______h.____. t^n to the propos ing _q enc y _ng £2 tne 

12 Secret ary . of_ St ate_ for_ publicat io n in the next availa ble 21S 

13 issue pf_ the I 1 1 inpi s_ Register. Issuance py fnj _____ 220 

1*. Committer*. of_ a s tate ment of objections to a propos e d ru le. 221 

15 _______________E£_I______E_____g_____________2____j 2_____!__ 

lo _______-_____] npt_ preclude, iss uance of a statement oy the 1.ZZ 

17 Joint Coirmittee under this Subsection to tQe__ijmg _______d ZZ i 

Id __l_______d_e_t__r__e_____r_ 

I* ill — L__ E_22e_£_ ___£__ _ame.nd.m2ni o.r ________ ______£ ZZ> 

?° portion of the proposed rule, amendment or repe ale r to _____ 226 

21 ___-_____* Committee h as issue d a statemen t u noer sucsection 227 

22 _____-_l_______£____£e_g____r ______ Q.JC __2 ________* at 

2 3 5tflte__nor takp ef feet? If tne pro posed rulet omenriment or ZZti 

2* reoealer. or the portion of, t,ne proposed rulet amencmen\ a_ ZZ<i 

2 5 r?2?§U^ L2 _____ — _h_ _____ — _£______£________________£__ 230 

20 y___r_______t_o________.__gS__f.__g_ with _n_ _£__g__C_ at Z3L 

Z 1 State, prior to the recei pt of t he certifie d S tatement oy tne 

2 d Secretary pf State, the effecti ven ess pf the r ul »i , amendment , .33 

2-» 2_____£_1__: __ ___ po rt ion of the ___£_ a meng manr . 2c 2 3<. 

3u __2__ 1st to. which tn» Joint Committee has issued a s'.at°ment 

3 1 _____._!___________._________ _e ____£__£_ ________£___ _UE__ 235 

32 receipt, pf the certified sta temen t Pv the Secretary or ^tate. Zit> 

3 J I__ Secret^rj of __a_e ___]_ _______£ ____ __________ <:37 

it. ____i_g___________g_x_--_..;he face pf_ms_ai.igc.igg -y^ flt ^ 3e) 

35 E__L_on__of a rule _____ in ____^_j_____J ________________ 



164 



R2 



-6- LHB8105071 jSpkA 

S^ate; Sjjch__ru]_es 2C E°!lLi2C!i of CiilSLS.— SySESD.329 ^n 2 39 

a cc or rtaoce s t^n_j^j^^ubs.2C_t i_0.n_5.naj_] Qe._can__^3__i£3_r e__e._jj_£__ 2*0 

ye2a_i£f2i.cati.on_gt_tt!e_ti.a!£_B r .2!ij.2eS_f.5i 1". itLfiieciiso in 2*. i 

I°i-_1£!§ submission of a petition by t"e jqency to t"ft jo.nt. 

Committee or, if juch petitio n is ^ubmitteOt upon ££__.j_L a__J___n 2*2 

of the time provided i_n_ SMbjft t ipn (JJ Lor__h___v£__ur _i_n___i 2*3 

the__ef fect._of__the JQint Committee's action by trie General 2** 

*llf!SeLti Tne agency may not, enforce _____ i nvpke f at jjny 2*5 

reason a rulemaking or portion of a rulemaking which has been 246 
suspended in acco rdance.. wi th this subsection. 

ji) The _ proposing aoencv m^y aetitiaG lhe___Jaint 2*8 

C ommittee f or introducti on qf a joi nt r esolution in the 2*9 

General, assembly to overt urn the effect of the action taken 250 

by the Joint Committee under subsection (n). Such a Petition 

must be submitt ed t o the Joint Commit t ee within 90 days of 251 

it!£ LSSJjance — <__ £h£_it __igm£nl_£___lh£_Ja±n_£_C.ar™Li.i.i££». I&£ 2 52 

Jo_.n_t_Co___tLiee__h__lI_r_at__I.____>£__e£r^ i_ e 25* 

re££ie^-_OJf__s.uch_^_I_.eti_ti 2 n___2_l__^^ 

10-^l!}£. r -- r lguSe_af_the.^eneraL_fls.seaDl.y_a . jaiQS_L£S.aIu.t_l20_t.a 255 

overturn th£__e!£e£A-_o_f the. — atlieO S.a.k£n Dj t!3£ JaiQl 256 

Committee, as soon as practicable. Th e G enera l Assemb ly may, 257 

bv the adop tion of such joint resolution within 90 gays at 258 

the introduction pf the joint resolution, overturn the effect 

pf the action take n by t h e Joint Committe e. 259 

(Ch. 127, par. 1007.07) 261 

Sec. 7.07. (a) The Joint Committee may examine any 263 

rule, including rules adopted u noer subsections^ (o j or .el pf 26* 

S ecti on 5 pf this Act for the purpose ot determining -nether 265 

the rule is within the statutory authority upon which it is 266 

based, and whether -the rule is in proper form. 267 

(b) If the joint Committee objects to a rule, it shall, 269 
within 5 davs of the objection, certify tne fact to the 270 
adopting aqency and include within the certification a 271 
statement of its specific objections. 

(c) Within 90 days of receipt of the certification, tne 273 



R2 



165 



-7- L^ol05071 JSpkA 

1 aaenc v shil 1 : 

2 1. Notify the Joint Committee that it has electee to 

3 aiena trie rule to meet tn° Joint Committee's ODjection; 

■. 2. Notify the Joint Committee tnat it nas electe.1 to 

5 reoeal trie rule, or; 

6 3. Notify tne Joint Committee that it refuses to ameno 

7 or reoeal the rule. 

8 (d) If the agency elects to amend a rule to meet tne 

9 Joint Committee's objections. it shall notify the Joint 

10 Committee in writing and shall initiate rule-mamng 

11 orocedures for that purpose by giving notice as required oy 

12 Section 5 of this Act. The Joint Committee Shall give 

13 priority to rules so amenoed uhen setting its agenaa. 
1*. (e) If the agency elects to repeal a rule as a result or tne 

15 Joint Committee objections. it snail notify the Joint 

16 Committee, in writing, of its election and Shall initiate 

17 rule-makinct procedures for that purpose by qiwing notice as 
lo required by Section 5 of tnis Act. 

li (f) If tne aaency elects to amena or repeal a ruie as a 

20 result of tne Joint Committee objections, it snail complete 

21 the process within 180 days after aivinq notice in tne 

22 Illinois Register. 

23 (o) Failure of the agency to respond to tne Joint 
2". Committee's objections to a rule within the time prescripeo 

25 in subsection (c) shall constitute a refusal to ameno or 

26 repeal the rule. 

21 (n) If an agency refuses to amend or repeal a rule so as 

2d to remeflv art objection stated Dy the Joint Committee anj tn t 

29 Joint Co.T.nittee decides to reco»n*no legislative action, tiien 

3J th« Joint Con.mittet snail nave drat tea ana nave inirjuuceo 

31 into either house of the General Assembly appropriate 

32 legislation to implement the recommendations of the Joint 

33 Committee. 

3* LlA If -T. r Jg-J.gJ-Ql-C.amm J- tle.£_d.eier, m .i".£k-. t n a S si CvLfi 9X 

35 E°.rt i on__of__a^ rule, a<QP' °J unde r Subsections (01 Q r hm of 



2 ?«. 

2?6 

2 n 

2 <<i 

2au 

262 
iei 
285 
2Bb 
287 
288 
289 

2tu 
291 

293 

295 
29 c 
297 



30! 



166 



R2 



I «t 



JWTUSpw 



______ °_:._i______i_______________e__- — ____o_$. ______ — ta ld_ j i 2 

2__Ll_ L________-___>__--__2_________ ___n____i_ ________i.__.____ 3 1 3 

issue a. statement _te tftat._jef.fsQt* ______iLie___o__ -1 

_____:__^-___!_±-_2___-____i-_e2__-_______L______________^ 31 «. 

ttl___t_!_!t_____L__tgt.e_Lor_[>u&.l_L____2a__G_iQ__a__S ____i__±_ 3 lb 

ii_.__-_2______ L!I___i5 _____J__i ________ __ _________ 3it> 

Committee of a statement of objections to a rule or _______ 

of _____l_-____e_ subsection. (D) of tfjij Se;tion shall nQt 3 1 7 

precluoe issuance o f a statement py the Jo int Co mmittee unoer 3 18 

this su bse ction to trie sa me rule or tne sa me portion _t a. 319 I 



1 j ) Tne effectiveness, of, th e ru le ______ portion of a 32 1 

__I_____IL___- __________-_i____-_-___- ______ _E.e___.B_ St tag 32 2 

___________________ ________i____i__y__L_______ l_.__le.__ _____ 32 3 

gf_ _______ _____] if__.L_._te _u__ _______!_2_ __&_______£____ --* 

_l___I__2G_i__;_______t__________t___L_I___L___-___LL____QI a 

L_i__tiL___iQ_____-Q_X____-i________________L______i ________ 32 i> 

_____°_5 -_°i _____ _________ L_ ___2_______ ___________ 32 o 

______________IL_____2__i___________i_g __a_____a__ at 32 ? 

the time Provided for in Subse ction (k| f_or tie Submission jt 

_-___ii_i_G-___________a______l_____iQt_______t____C__lL_____! 

__i_t__________-i_t_______n_____i_t_oQ_ai___e time ________ 

i_ — _______ i_>_ — LLL— La _-t_e_ o ._s_.iur"i _g , q U _aa--_.i____fl___Ds 

J oint Committee's actio n py tne Oener al Assemoly * Tne agency 
___.-_-_-_._f ai___T _"2 r _i_i---_-_---_a_-_e__ga___-___s_____a____Q 

2i_____ ________________ ______________ ___2_fl_a_e _____ 

____e_±_____ 

i_l__L____Lf __.i_2___eQ_______a_titi___ine__a_ni___n.______ 335 

___-_____._____i2_-_2i - ______ ____2L___2D _ri ___________! j__ 

_ia_--i--12_2---t -__-__---_* gg t fff -1 ______ ■____ _t___n _______ HI 

__i._i-___-_i_.__5 unoer subs ecti on (il_ ___h_____L___2a_____ 3 3b 

_______ i____.__2__ _____!_ !_____i_t£______ in 9_ a___ al __e 

__*____._ — 2 ____________________ _______ ___a__i__e_. l_e__a___ 3 3 9 

__m__L_________-__2_i__-____ _________ 2__ ______ ___Q _._£ 3h0 

receipt, of. such a petition anq shall _____ft-___ _?_' _.__gfl__..fl i*> 1 



32V 



H2 
333 



R2 



167 



i^_^t h°^_noyse_of _t ho_Gene^ai_4 ssen : oi^_a |Oi nt resolution t.c 

o«£LI>iLC! the_ pllKt_ .of- ty action taK£n__2j trig JQIlii. 

Cgwm£t.tee__as__soon_as_erac t^caoie. The Genera' assembly ma. y 

bv_t^ie_aOoet j_gn_of sgcn ioi nt r esolution witnin ^rj aa^s. g.i 

the__int_roouc tion_of _tf>e ioint resolut ion overturn tne e r t ec t 



R2 



RECOMMENDED BILL THREE 



INTRODUCED . 



81st GENERAL ASSEMBLY 

State of Illinois 

1979 and 1980 

.. BY 



SYNOPSIS: (Ch. 5, par. 138.10) 

Amends the Soil and Water Conservation District 
Act to exempt soil and water conservation districts from the 
provisions of the Illinois Administrative Procedure Act. 



LRB8103697ASjp 



A BILL FOR 



LKo810fc)697ASjp 

1 A.'. ACT to amend Section <,3 of the "Soil an: «ater 
I Conservation Districts Act", approveo July 9, 1937, as 

3 anenaeo. 



o Section I. Section <.3 of tne "Soil ana rater 

7 Conservation Districts Act", approves July 9, 1937, as 

8 amenaeo, is amended to read as follows: 

(Cn. 5, par. 133.10) 

9 Sec. <t3. Administrative Procedure Act - Application. 
10 Tne provisions of "The Illinois Administrative Procedure 
1 I Act", — npp-rv-rvn — Sept-naei 1 ii-r — *9^5t — a-n? — *e^eB7-e-*p^«« + 7 

12 oriopteo-ana snail apply to all administrative rules and 

13 procedures of en-y-dTStf ,tt-ef the Department under tms ActT 

14 ncept- -tne* — ieetten — 5 — o-f — tne -i++Tn©-r-s *dfKT«T-s*r,s-t-rve 

1 5 Proeeaofe--*et-fe+atTng-to-preeeiSores-fer-ro+eiMi<tng-<(o«-n8t 
lo 8pp<y-to-th<-flaoptTon-ef-ofiT-fott-feqntff«-8f-fea«fa+-+o« — rn 
1 7 eanneetTea— «Ttn— »«T«h— oay—atilfTtt — at— thf-6epaft«nmt-Ti 
Id prce + ooea-B7-+B«— f roiti-exereTSTog-on-y-e)TSe^e«T<»n. 



170 



R3 



RECOMMENDED BILL FOUR 



INTRODUCED . 



81st GENERAL ASSEMBLY 
State oi Illinois 

1979 and 1980 
BY 



SYNOPSIS: 



(Ch. 8, pars. 136, 13Gb, 137) 



Amends the "Illinois Bovine Brucellosis 
Eradication Act". Alters the indemnification provision to 
include payment by the State for all dairy or breeding cattle 
whether infected or not, that are ordered destroyed by the 
Department of Agriculture. 



LRB8108485FGJO 



fiscal Halt Act 
nwjr b« apg/lcaWe 



A BILL FOR 



171 





LR3610B<.85rGjO 




1 


an ACT to amend Sections 3i 30 =>nz <, of tne "Illinois 


_> _ 


2 


Oouino Srucpllosis Eradication Act", approved j-jiy i. 2 , 193?. 


Si 


3 


as amendec. 


3 3 


* 


S£ Li £!!££-;££ S-Y. tne People of tne State of jUmoiSt 


5b 


5 


r ^fiiOj;^ >~ the General AsseT0'y : 


. I 


6 


Section 1. Sections 3. 3b and <» of the "Illinois Sonne 


36 


7 


Brucellosis Eradication Act" approved July 12. 1939. as 


39 


8 


amended, are amended to read as follows: 


= 




(Ch. 8, par. 136) 


c_ 


9 


Sec. 3. All owners of dairy or breeding cattle within tne 


o3 


10 


State of Illinois shall submit their cattle for an official 


on 


1 1 


test for the detection of brucellosis upon request Dy tne 


o5 


12 


Department, and shall provide the necessary facilities for 


66 


13 


making tests and render such assistance as may be required oy 


o7 


1<. 


the Department. The direct expense of making such tests snail 


-6 


15 


be paid by the Department. 


ov 


16 


The Department may use or authorize the ring test to 


70 


17 


detect the herds in which brucellosis exists. All heros 


7i 


18 


producing milk or cream which react to the ring test snail oe 


f2 


19 


given an official test in accordance with rules ano 


<i 


20 


regulations of the Department. If the tests provided for in 


"> 


21 


this Act disclose that any animal or animals in sucn herd are 




22 


infected with brucellosis and it appears that the public 


lb 


23 


interest would best be served by their destruction. t^ng 


.. 


2<. 


destruction of female calves of the herd, or tne destruction 


I 7 


25 


Cf ltl£ £nti££ fisUi tJ2£ Q^ a2r_LI!l£r!I__s_£>a.II ________ _U_n 


.0 


26 


£_s. tx LLC Li CD . The owner may be partially indemnified for tne 


7 9 


27 


loss sustained, unless otherwise required by the provisions 


OJ 


28 


of Section -> of this Act. 


01 




(Ch. 8. par. 136b) 


a. 


29 


Sec. 3b. Herds which conta i n Srielejf reactors __________ 


c> 


3T 


--LS _____:____: __:__n_^£_S.__j______ snail be quarantined unci £££ 


-- = 


31 


^0J.^li^Dj1^at;eJ^x_U!°_ n ^2Lai^lShi_2!:s_JS5IIQy.Sd o*P»po + 8?te 


o J 



111 



K4 



to tne o^ 



paying 



eacn 



-2- Ln36106<.65f-GjO 

or u nti 1 official tests indicate brucellosis infectior 
longer exists in the nerd. 

[Ch. P. par. 137) 

Sec. <.. If State funds are av 
indemnity. tne Depart-nent snail pay 
r est r oved rffeetei arimal an indemnity of S5C for any grade 
animal and 1130 for any registered animal » except that steers 
so destroyed snail not be eligible for indemnity unless tne 
Department requests d estruction depopo+at+on of tne entire 
nerd. Tne Department may» by rul e re-ol-et-ron, increase tne 
indemnity payments or expand the scope of animals coverec to 
facilitate the program for eradication of Drucellosis. 
Registration certificates cowering purebred or crossbred 
animals registered with an approved registry association 
shall be presented before payment of indemnity. A reasonable 
length of time will be allowed for tne registration of 
eligible animals that are under 3 years of age. 



101 

LJ2 
103 

ILK 

I Ob 



R4 



173 



RECOMMENDED BILL FIVE 



81st GENERAL ASSEMBLY 
State oi Illinois 



1 979 and 1 5 
_. BY 



SYNOPSIS: 



(Ch. 61, new par. 2.39) 



Amends the Wildlife Code to provide that properly 
licensed hunters under 16 years of age shall be accorded the 
same hunting privileges as hunters of any other age and that 
the Department of Conservation may limit eligibility for 
drawing blind sites to one hunter per family. 



LRB8108484P«ma 






A BILL FOR 



175 



ids Section 2.39 to 
10, 1971, as amenaed. 



L-g031t° C by Xti; 



-tn£__irste_ 



ial .Assempl y ; 



Section 1. Section 2.39 is adaed to tn< 
approved Decemoer 1C, 1971, as amended, tr» 
read as f ol 1 ows : 

(Ch. 61. neu par. 2.39) 

jec. 2.39. The Dep artment m,a Y QO-S rqsti 



il- 



i r e Code" , 
Sect i on to 



iixaa 



o.f croper) y licensed persons Dased sole 'y on the age of tn e 

consent renu.re d bv Section 3.1, has qual ifie d for a hunting 

■ LCense ?Y Pbta.n_._ng, a. cert 1 f .cate o_f cgmp^gn; y uoflej. 

ssued a hunting 1 ice,nse, 

na — cxj.vj.iaaei _>__ the. 

32-1 HQwgVerj LI tOfi 

5 pecessar_y,_fpr tDfi Safety gi_t.!lg 




Depar tment as perso n 
D epartmen t finds that 



i2 — LgfiiLLLfi ea.£H 

hunter to be accompanied bv another h un ter or to restrict t ne 

tot ?' . — nywpex of hunters allowed m the ar ea, the Department 

m ay require each hunter under 16 year s of eq g tc pe 

gc_£0JSC3nied b_y. a hunter of more than 13 years of aoe. lae 

Department may also restrict g 1 i q ■ b 1 l_i_t___ tfi_r d_raj-j_ngs Isx 

Mind sites to on e hunt er per famil y, when such rest riction 
is necess ary to .ins ure an equitable a llocatio n o f sit es. 



176 



R5 



RECOMMENDED BILL SIX 



INTRODUCED. 



81st GENERAL ASSEMBLY 

State of Illinois 

1979 and 1980 
BY 



SYNOPSIS: 



(Ch. 16 1/2, pars. 49 and 49.3) 



Amends the Currency Exchange Act in regard to the 
rulemaking procedures of the Director of Financial 
Institutions and permits the Director to establish money 
order limits. 



LRB8108487BDJW 



A BILL FOR 



177 



IRS31C8-876Dj» 



AN ACT to amend Sections 19 and 19.3 of "An Act in 
relation to tne definition, licensing ana regulation of 
community currency exchanges and ambulatory currency 
excnanges. and tne operators and employees thereof, anc tc 
make an appropriation therefor, and to provice penalties anc 
remedies for the violation thereof", aoproved June 30, 19<,3, 
as amended- 



9e , t enarterj t?v fchg 



"present ed Lfj the Genera' Assem&l- 



Section 1. Sections 19 and 19.3 of "An Act in relation 
to the definition, licensing and regulation of community 
currency exchanges and ambulatory currency excnanges? and the 
operators and employees thereof, and to make an appropriation 
therefor, and to provide penalties and remedies for tne 
violation thereof", approved June 30, 1943, as amended, are 
amended to read as follows: 

(Ch. 16 1/2, par. 49) 

Sec. 19. The Director may make and enforce such 

reasonable rules and ▼ re l evorrt r-e-gq4o t i on a -, d-^r-eet-rons-, 

orders, — deeti-rom — end f i nd ■ n ga as may be necessary for tne 

execution and enforcement of this Act and to accomol i sh tne 
purposes sought to be attained herein. All such rules ana 
rfei)4etT«ni,-<),fett,«MT or der s-r-dee-t- s i on-a e n d -f-rrTdTWga snail 
be filed and entered by the Director in an indexed permanent 
book or record. with the effective date thereof suitably 
indicated, and such book or record shall be a puolic 
document. All rules reao^-e-t-rern — efl«-*Tftttrtn», which are of 
a oeneral character, shall be printed and copies thereof 
mailed to all licensees within 10 days after filing e-s 
ef-OMiB-rd. Copies of all f i nd » nq s -r orders of»q— de e main snail 
be mailed to the parties affected thereby by United States 

adCitio n to Jibe rulemaking S ni cont ested case rec mremera s aJ 



178 



R6 



tns. LlllagJ-s 



■r>< iX> 



Procedure > ct. 



(Ch. 16 1/?. par. 49.3) 

Sec. 19.3. (A) The General Assembly hereby finds ana 
declares: community currency exchanges and ambulatory 
currency exchanges provide important ano vital services to 
Illinois citizens. In so doing. tney transact extensive 
business involving check cashing and the writing of money 
orders in communities in which banking services are generally 
unavailable. Customers of currency exchanges wno receive 
these services must be protected from being cnarged 
unreasonable and unconscionable rates for cashing chec«s and 
purchasing money orders. The Illinois Department of 
Financial Institutions has the responsibility for regulating 
the operations of currency exchanges and has the expertise to 
determine reasonable maximum rates to be cnarged for cneck 
cashing and money order purchases. Thereforet it is in tne 
public interestt convenience, welfare and good to have tne 
Department establish reasonable maximum rate schedules for 
check cashing and the issuance of money orders and to require 
community and ambulatory currency exchanges to prominently 
display to the public the fees charged for all services. 

(B) The Director shall, by rules adopted in accordance 
with the Illinois Administrative Procedure Act. expeditiously 
formulate and issue schedules of reasonable maximum rates 
which can be charged for check cashing and writing of money 
orders by community currency exchanges and ambulatory 
currency exchanges. 

(1) In determining the maximum rate schedules for tne 
purposes of this Section, the Director snail taxe into 
account: 

(a) Rates charged in the past for the cashing of checks 
and the issuance of money orders Dy community and ambulatory 
currency exchanges. 

(b) Rates charged by banks or other business entities 
for rendering the same or similar services and tne factors 



9V 

100 

101 

102 

103 

105 

106 

108 
10* 

110 

I X 1 

112 

1 13 
1 14 
1 IS 



R6 



179 



.SSci Jb-ilbu i- 



<pense of the operation of 



ucon which those rates are based. 

(C) The income. cost and 
currency exchanges. 

(a) Sates charged by currency exchanges or other similar 
entities located in other states for the same or similar 
services and the factors upon which those rates are Cased. 

(e) Hates charged by the United States Postal Service 
for the issuing of money orders and the factors upon wnicn 
those rates are based. 

(f) a reasonable profit for a currency exchange 
oper at i on. 

(21 (a) The schedule of reasonable maximum rates 
established pursuant to this Section may be modified Dy trie 
Director from time to time pursuant to rules adopted in 
accordance with the Illinois Administrative Procedure Act. 

(b) Upon the filing of a verified petition setting forth 
alleqations demonstrating reasonable cause to believe that 
the schedule of maximum rates previously issued and 
promulgated should be adjusted. the Director snail 
exped i t i OUS 1 y : 

(i) "eject the petition if it fails to demonstrate 
reasonable cause to believe that an adjustment is necessary; 



12" 
L2J 
12' 
13C 

13, 
13. 
13< 



Z<, (ii) Conduct such hearings. in accordance with this 

25 Section. as may be necessary to determine whether tne 

2i petition should be granted in whole or in part. 

27 (c) No petition may be filed pursuant to subparagraph 

28 JJ21 +«-7 of paragraph (2) of subsection (B) unless: 

29 (i) At least nine months have expired since the last 

30 promulgation of schedules of maximum rates; and 

31 ( i i ) At least one-fourth of all community currency 

32 exchanoe licensees join in a petition or. in tne case of 

33 ambulatory currency exchanges. a licensee or licensees 
3<r authorized to serve at least 100 locations join .n a 



ppt 



- on. 



ISO 



R6 



lRBBl08<.87B0jw 



1 (3) Any currency exchange may charge lower fees than 

2 those of the applicable maximum fee schedule after filing 

3 with the Director a schedule of fees it proposes to use. 
lU II 



<> 




6 




7 




a 




9 




10 




i 1 


Director mav also provide for exempt i ons from Such maximum 



15' 
15* 

15V 
156 
15< 

16C 

16] 



R6 



181 



RECOMMENDED BILL SEVEN 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
__, BY 



synui-ms: (ch- 16 1/2 , pars. 260 and 265) 

Amends the "Financial Planning and Management 
Service Act". Gives authority to Director of Financial 
Institutions to suspend as well as revoke licenses upon 
certain findings of noncompliance with the statutory 
requirements. 



LRB8108486RBsh 



A BILL FOR 



183 



LRB8108486RBsh 

1 An Act to amend Sections 10 and 15 of the "Financial 

2 Planning and Management Service Act", approved July 9, 1957, 

3 as amended. 



Be it enacted by the People of the State of Illinois, 
represented in the General Assembly: 



Section 1. Sections 10 and 15 of the "Financial Planning 
and Management Service Act", approved July 9, 19 57, as 
amended, are amended to read as follows: 

(Ch. 16 1/2, pax. 260) 

Sec. 10. Revocation or suspension of license.) (a) The 
Director shall-; open 3 days notice to fciw licnaiLi lay 



-Sl. a fcr.3 mail, — dts 



c ontemplated acfci 



tut A in ge 



: as enable 



tre iiity to be 



fiat t e n ^ 



revoke any license issued hereunder if he shall find that: 
(1) any licensee has failed to pay the annual license fee, or 
to maintain in effect the bond required under the provisions 
of this Act2. or (2) the licensee has willfully failed to 

comply with any ruling ardnf, cijeiaio.i — or findin g of the 

Director made p utauant t o ejid within the authority of this 

Act-r or that — {■*$ — fcrt- li e euaee has willfully violated any 

provisions of this Act or any rule_j_ r egulati o n o r direction 
lawfully made by the Director under am * within the authority 
of this Act; or that (3) any fact or condition exists which, 
if it had existed at the time of the original application for 
a license, would have warranted the Director in refusing its 
issuance; or t hat (4) any applicant or party to an 
application has made any false statement or representation to 
the Director in applying for a license hereunder. 

(b) If the Director find that a condition requiring the 
revocation of a license exists and finds that revocation 
could result in irrepairahle harm to the licensee or denv 



184 



I'/ 



LRB3108486RB3h 



1 necessary services to the public, the Director shall suspend 83 

2 rather than revoke the license. Such suspension shall be for 

3 a specified period of tine but not more than 90 days. If th e 84 

4 condition resulting in the suspension is not remedied during 8 5 

5 the suspension period, the Director shall take immediate 86 

6 action to revoke the license. 87 

7 (c) Action under this Section for revocation or 8 8 

8 suspension of a license may be taken only upon 5 days notice 89 

9 to the licensee. The notice shall be mailed to the licensee 90 

10 by registered United States mail, directed to the licensee at 91 

11 the address set forth on the license. The notice shall state 

12 the contemplated action and in general the grounds for the 92 

13 action. The Director shall provide reasonable opportunity for 9 3 

14 the licensee to be heard prior to such action. Hearings under 94 

15 this Section shall be conducted in accordance with the 95 

16 requirements of the Illinois Administrative Procedure Act. 96 

(Ch. 16 1/2, par. 265) 98 

17 Sec. 15. Rules arid c eyulaLiouj . ) The Director shall make 10 

18 «nd £ind, as r equired — by la w ; and enforce all reasonable 10 

19 rules «n3 r egulations as shall be necessary for the 10 

20 administration of this Act. Such rulemaking shall be subject 

21 to the provisions of the Illinois Administrative Procedure 10 

22 Act. 



R7 



185 



RECOMMENDED BILL EIGHT 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 



INTRODUCED . 



(Ch. 41 
31.16, 



, pars. 31.1, 31.2, 
rep. par. 31.9) 



31.3, 31.4, 31.6 and 



Amends the Child Labor Law by substituting for 
the enumerated list of prohibited occupations for minors a 
general prohibition against the employment of minors, under 
16 years of age, in any gainful occupation without the 
employer first obtaining an employment certificate for the 
minor. Retains the enumerated exceptions to the prohibition. 
Subjects the Department of Labor's rulemaking power and 
hearings procedures to the provisions of the Illinois 
Administrative Procedure Act. 



fisal Note Ac: 
"lay be jpp.fati 



LRBS108483AStc 



A BILL FOR 



187 





LRB8108483AStc 




1 


AN ACT to amend Sections 1, 2. 3, 4, 6 ana 16 ana to 


51 


2 


repeal Section 9 of the "Cn. Id Labor Law", approved June 30, 


52 


3 


1945, as amended. 


54 


5 




56 
58 


represented in the general Assembly: 


6 


Section 1. Sections 1, 2, 3» 4, 6 and 16 of the "Child 


59 


7 


Labor Law", approved June 30, 1945, as amended, are amenoed 


60 


6 


to read as f ol 1 ows: 


61 




(Ch. 48, par. 31.1) 


63 


9 


Sec- 1. (a) MO m-nor under 16 years of age shall D e 


64 


10 
11 
12 
13 
1* 
15 




65 
66 
67 
68 

69 










a^c. -uH L5 y *o, gu 




16 


e rjneat-ron-progr aires— ertrler — the JirtttTttfl — of the — 5t«t« — B««f<) e>* 


70 


17 


ErJtieet-roii-r a* an-y — *4m« sheH fee mplayej; perm-rtt-ea or 


71 


18 


3t)ft«rt<!-te-»wtt — rn— aivy gainful ocr.«pot i on — r-n tonnectien-wrth 




19 


Bny-thfrterT-Mneer^-haH- or pi aee o-f amuaetientT — or arry 


72 


20 


mereentT+e tnstrtut i en, store-? office, hate 1 i — +aanar-y-r 


73 


21 
22 


mfl-no+oo^ur-rrt-g MWb+rshnwfttr m i 1 1 ■> e-onner y-» f-ae-tor-y -or 


74 






23 


ihopT-bekri-trsT-eefl-W-brrelt-w — ttmbw — yero-, — er— rn — a«-y-type-or 


75 


24 


tfiMtfoftren-xoftt- w-i-th-rn-t-hr-a — s*«*ei — However 


77 


25 


( b) Minors between 14 and 16 years of age may oe 


78 


26 


employed, permitted, or suffered to work outside school hours 


79 


27 
28 


and during school vacations if such work is (|) hot not »n 


80 
a 1 


dannerous or hazardous factory work and 121 not prohibited Dv 


29 


Section 7 of this Act and (31 not or — rn e«-r — oeensatTOfl 


82 


30 


otherwise prohibited by law or by order or regulation made in 




31 


pursuance of law. 


63 


32 


( c 1 No minor under 12 years of age, ewrpt-mmatr s-or-tne 





188 



R8 



LRB8108483AStc 




with agriculture.. T — E-*eept tne-t This provision snail not 

apply. LL! L2 ^embers of a farmer's own family wno live at 

hi s prin cipal plac e of resid en ce ; (2) to minpfj engaqeq tn 

^ f ' c ult ural P ursuit;? other than as a . gainful occupa tion; , <? r 

(31 to any minor of 10 years of age or more who may De 
permitted to work in a gainful occupation in connection with 
agriculture during the school vacations or outside of school 
hours- 

<Ch- 48, par. 31.2) 

Sec. 2. Nothing in this Act applies to : ( 1 1 tne work of 

a minor engaged in frgr -r eul tural pti fin i ti — c«ttpt for -t w o se 

pefieni — rMtrreteij — -f-rvrm wor k ing i n a g ain ful a eeupa -ttan — mi 

coflntet i e n mtti-ayi e ul tuf ; — m — Sree t ■ o n I , m the sale and 

distribution of magazines and newspapers at hours when tne 

schools of the district are in session^ -» ho t hi n g m — thrs 

*e-t — epp4Te^ — to ( 2 1 the employment of a minor outside school 
hours in and around a home at work usual to the home of the 
employer so long as that work is not in connection with or a 
part of the business? trade or profession of tne employer^. -» 
No-tH-fng — in- th-i-a— Ac± a p pl ies — to ( 3 1 the work of a minor of 13 
years of age or more in caddy ing at a golf coursej. who -ra— 1-3 

<sf>o+-ieys — to at f_4J Lfie. Participation oj a minor, 14 or 15 

years of age, during the school vacations -tHot p*rt o4 tne 

•yeer — fro« — -done t-throo?>i — Sept embe r 1 5, in an occupational, 

vocational, or educational program funded by tne 
Comprehensive Employment and Training Act. 

(Ch. 48, par. 31.3) 

Sec- 3. No minor under 16 years of age shall be employed, 
permitted, or suffered to work in any gainful occupation 

iwfltiotiet) rr\ — iett-ien — + — tyf Hi-r-a — ttt for more than b 

consecutive days in any one week, or more than 48 hours in 



99 
100 

101 

102 
103 
104 

105 
106 

107 
109 
1 10 
1 1 1 
1 12 



117 
1 lb 
1 19 
120 



R8 



189 



L3B6108<.<3?AStc 



any one week, o 
employed, permi 



lore than 8 nours in any one day. or De so 
•d or suffered to work between 7 p. m. ana 7 



The hours of work of minors unoer the age of lfe years 
employed outside of school hours shall not exceed 3 a day on 
days when school is in session, nor shall the comDined hours 
of work outside and in school exceed a total of B a day. 
(Ch. 48. par. 31.4) 

Sec. 4. No minor under 1£ a i xt ee n ( 1 b-f years of age snail 
be employed, or permitted to work in any gainful occupations 

we nt i o ne d i-n — 5eet-ren — 1 — &f — th i s » e* for more than % *~r-r« — t*l 

hours continuously without an interval of at least 3_Q thift; 
+*©-)■ minutes for meal period, and no period of less tnan _3_Q 
th-rr-ty — f-3e-fr minutes shall be deemed to interrupt a continuous 
period of work. 

(Ch. 48. par. 31.6) 

Sec. 6. It shall be the duty of every employer of minors 
between the ages of 14 and 16 years employed for or in 
connection with any gainful occupation me n t i o n e d i n Ste t-refl-i 
to keep a register upon the premises where the work is being 
done on which register shall be recorded tne name, age and 
place of residence of every minor between the ages of 14 ano 
16 years. It shall be unlawful for any person, firm or 
corporation to hire or employ or to permit or suffer to work 
in or for or in connection with any •&+ — t*e gainful occuoat i on 

oetnpMTefn i^ent-i-oned rn — Seet-rort — it any minor between tne 

ages of 14 and 16 years unless there is first procured and 
placed on file on the premises where the work is being cone, 
employment certificates issued as hereinafter provided ano 
accessible to the authorized officers or employees of tne 
Department of Labor, and to the truant officers or other 
school officials charged with the enforcement of the 
compulsory education law. 
(Ch. 48, par. 31.16) 
Sec. 16. ( a I The Department of Labor shall make. 



120 

121 

122 
123 
124 
~Ub 
126 
128 
129 
130 
131 
132 
133 
134 
135 
137 
.38 
139 
140 
141 
1*2 

143 

144 

L45. 

146 

1*7 

148 
1*9 

150 

151 
153 
15* 



190 



KM 



-<r- LRB8108<»83AStc 

1 pr-omw+e*** end enforce such reasonable rules and r egqtatiofn 155 

2 relating to the administration and enforcement of tne 156 

3 provisions of this Act. including the issuance of 157 
<» certificates authorized under this Act. as may be deemed 

5 expedient. Such rulemakin g mev not expand tne specific work 156 

6 activities prohibited to minors specified in Section 7 of 159 

7 this Act- Such rulemaking i s subject; X Q the provisions of 160 

8 the Illinois Administrative Procedure Act. )bl In order to 161 

9 promote uniformity and efficiency of issuance, it shall »n 

10 consultation with the State Superintendent of Education 162 

11 formulate the forms on which certificates shall be issued and 163 

12 also forms needed in connection with such issuance, and it Ld4 

13 shall supply such forms to the issuing officers. ( c 1 The 165 
1* Department of Labor, its deputies and inspectors, may suspend 

15 any certificate as an emergency action imperatively required 166 

16 for the public health, safety and welfare of minors if in 167 

17 their judgment it was improperly issued or if the minor is ir>8 

18 illegally employed. If the certificate is so suspended tne 169 

19 employer and all interested parties shall be notified of such 

20 suspension in writing and such minor shall not thereafter oe 170 

21 employed, permitted, or suffered to work until a final order 171 

22 is issued by the Department of Labor after a hearing either 172 

23 reinstating or revoking the certificate. The hearing snail 173 
2<» commence within 21 days after the date of any such 17*. 

25 suspension. If the certificate is revoked the umor snail 175 

26 not thereafter be employed. permitted or suffered to work 176 

27 until a new certificate for his employment has been obtained. 

28 Id) Hearings conducted under this Ac_£ ar? . S ubject to tne 177 

29 provisions of the Illinois Admin istr ative Procedure Act . 179 

(Ch. <»8» rep. par. 31.9) 181 

30 Section 2. Section 9 of the "Child LaDor Law", approved 182 

31 June 30. 19^5. as amended, is repealed. 183 



R8 



191 



RECOMMENDED BILL NINE 



81st GENERAL ASSEMBLY 
State of Illinois 



1 979 and 1980 



INTRODUCED. 



" (Ch. Ill 1/2, pars. 1035 and 1037) 

Provides that the burden of proof in establishing 
that variances are consistent with federal laws and 
regulations shall be on the Environmental Protection Agency, 
rather than the variance petitioner, and requires the 
Pollution Control Board to determine such consistency. 
Requires related recommendations given by the Agency to the 
Board to include an analysis of applicable federal laws and 
an opinion concerning consistency of the variance therewith. 



LRB8108526SKJO 



fiscal Note Act 
may be applicable 



A BILL FOR 



193 



LRB8108526SK.JO 

kCT to amend Sections 35 and 37 of the "Environmental 53 
:>n Act", approved June 29, 1970, as amended. 56 



e .t ena cted p< t rip Pe opl e fli tne State. Qi 1 1 1 »no. Si 

senreo in trie General assemu 1 Y • 



Sectcon 1- Sections 35 and 37 of the "Environmental 
Protection Act", approved June 29, 1970, as amended, are 
amended to read as follows: 
(Ch. ill 1/2, par. 1035) 

Sec. 35. To tne extent consistent with applicable 
provisions of tne Federal water Pollution Control Act 
Amendments of 1972 (P.L. 92-500), the Federal Safe Orinning 
water Act (P.L. 93-523), the Clean water Act of 1977 (P.L. 
95-217), the Clean Air Act as amended in 1977 (P.L. 95—95), 
and regulations pursuant thereto, and to the extent 
consistent with applicable provisions of the Federal Resource 
Conservation and Recovery Act of 1976 (P.L. 94-580), and 
regulations pursuant thereto, the Board may grant individual 
variances Deyond the limitations prescribed in this Act, 
whenever it is found, upon presentation of adequate proof, 
that compliance witn any rule or— rego-t-et-i-onT-reqo-rrement or 
order of the Board would impose an arbitrary or unreasonable 
hardship. Tfie fln^rl "»* Y not grant any variance that is wpglly 
ox part ly inconsistent with apjp,i t cap! e, — federal — Lans—and 

Jiegulat, ions. In granting or denying a variance the Board 
snail file and publish a written opinion stating tne facts 
and reasons leading to its decision. 

(Ch. ill 1/2, par. 1037) 

Sec. 37. Any person seeking a variance shall do so by 
filing a petition for var.ance with the Agency. The Agency 
shall promptly give written notice of sucn petition to any 
person in the county in which the installation or property 
for which variance is sought is located who has in writing 
requested notice of variance petitions, the State's attorney 



L9 4 



R9 



-2- LRB310852oSKjO 

1 of such county, the Chairman of the County Boara of such 

2 county. ana to each member of tne General Assembly from the 

3 legislative district in »h.ch that installation or property 
<• is located. and shall puDlisn notice of such petition in a 

5 newspaper of general circulation in such county. The notices 

6 required oy this Section shall include the street address. 

7 and if there is no street address then the legal description 

8 or the location with reference to any well known landmark, 

9 highway, road, thoroughfare or intersection. The Agency 

10 shall promptly investigate such petition, consider the views 

11 of persons wno might be adversely affected by the grant of a 

12 variance, and make a recommendation to the Board as to the 

13 disposition of the petition. Such recommendation shall 

1 <. include a n a nalysis of t he appl itaP'e fe deral laws and 

1 5 regulatio ns and an opini on concerning the consistency of the 

lo petition with such federal laws and regulations. If tne 

17 Board, in its discretion, concludes that a hearing would De 

Id advisable, or if the Agency or any other person files a 

19 written objection to tne grant of such variance within 21 

20 days, then a hearing shall be held, under the rules 

21 prescribed in Sections 32 and 33 (a) of tnis Act, and the 
ZZ burden of proof shall be on the petitioner . except as to 

2 3 cons t s tents W i tn appi naole federal laws.anq regulations? ,q 

2<. *<nicrt case the Puraen ai proof sjoajj — Pe. — ad — me — kaency? 

25. sjuja!£c_l to Luiaj determination — &* — £JD£ Board . pursuant . to 

26 Section 35 of tnis Act- 



100 
101 
10/ 



105 
106 
107 

ioe 

109 
1 1C 



R9 



195 



ALTERNATIVE BILLS 



During the review of proposed rulemaking in 1979, the Joint Committee discovered 
a number of difficult and complex issues which need to be addressed by the General 
Assembly. In the 1978 Annual Report to the General Assembly, the Joint Committee 
included several resolutions pointing out these kinds of areas of concern to all the 
members of the General Assembly. 

While the Joint Committee recognizes the seriousness of these issues, it is not 
always appropriate for the Joint Committee on its own to make the policy decisions 
involved and recommend a single approach to the General Assembly. Where the issues 
were clear and properly within the Joint Committee's mission, single recommended bills 
have been developed. They are included in the previous section (pages 149-195). But, the 
issues addressed by the alternative bills included in this section go beyond the Joint 
Committee's primary area of expertise. 

In these situations, the Joint Committee decided that it is most appropriate to 
suggest alternative approaches to resolving the problems. These alternative bills should 
stimulate consideration by the full General Assembly of the issues involved in each case. 

Alternative Bills One and Two (pages 207-226) 
Agency: Department of Public Aid 

Rulemaking: Rules 4.01 - 4.018, Medical Assistance 
Program (for Joint Committee objection, see page 58) 

Background: The Joint Committee objected in April 
1979 to rules proposed by the Department of Public Aid 
concerning the Medical Assistance Program. The basis 
of the Joint Committee's objection was that Section 12- 
4.25 of the Public Aid Code requires the Department to 
"negotiate" vendor agreements with each category of 
vendor which is specifically listed in the section. The 
list includes physicians, hospitals, long term care 
facilities and other types of medical vendors. 

The Joint Commitee believes that many of the 
requirements included in these proposed rules should 
more properly have been negotiated and included in a 
vendor agreement. The Department refused to modify 
the rules, arguing that the imposition of these 
requirements is authorized by other sections of the 
Code (Sections 12-13 and 5-5). 



197 



Since the statute allows the Department to develop 
rules and also requires the Department to develop a 
negotiated vendor agreement, it seems best to interpret 
the rulemaking authority as applying generally to all 
categories of vendors and the provider agrement as 
applying to each specific vendor category. The 
requirement for vendor agreements would be 
meaningless if the Department could impose identical 
requirements by rulemaking and avoid negotiation. 

Since the Joint Committee does not believe it is 
within its expertise to make the judgment involved in 
the substantive policy decision to resolve this conflict, 
the Joint Committee is developing alternative pieces of 
legislation to explicitly implement each interpretation. 

Summary of Alternative Bill One: Amends the Public 
Aid Code to provide that rules adopted by the 
Department of Public Aid to implement the Medical 
Assistance Program must apply to all categories of 
medical vendors. Specific requirements applying to 
only one vendor category must be included in the 
vendor agreement required under Section 12-4.25. 

Summary of Alternative Bill Two: Amends the Public 
Aid Code to provide that rules concerning vendor 
participation in the Medical Assistance Program 
adopted by the Department of Public Aid may apply to 
a single category of vendor, despite the requirement to 
negotiate a vendor agreement with each category or 
vendor. 

Alternative Bills Three and Four (pages 227-230) 



Agency: Department of Public Health 

Rulemaking: Hospital Licensing Requirements, Parts I, 
II, III, VI, VIII, IX, X, XI, XIV, XVI, XIX, and XXII (for 
Joint Committee objection, see pages 66^-67) 

Background: In June 1979, the Department of Public 
Health proposed extensive amendments to its hospital 
licensing requirements under the Hospital Licensing 
Act. The Joint Committee objected to the rules on 
three grounds. The first two grounds were remedied by 
the Department through modifications of the rules. 

The Joint Committee's third ground for objecting to 
the rules involved an apparant conflict between the 
section of the rules concerning psychiatric services and 
the recognition of the expertise of psychologists in the 
Mental Health and Developmental Disabilities Code and 
the Psychologists Registration Act. 

The Joint Committee believes this conflict should 
be resolved, but does not believe that it has the 



I 98 



expertise to make the policy decision involved. The 
Joint Committee is developing legislation to resolve the 
conflict both in line with the interpretation that 
psychologists should be recognized (Alternative Bill 
Three) and in line with the Department's rules 
(Alternative Bill Four). 

Summary of Alternative Bill Three: Amends the 
Hospital Licensing Act to require that the expertise and 
skills of psychologists be recognized in the standards 
adopted by the Department of Public Health for 
psychiatric programs of hospitals. Provides that 
psychologists shall be allowed to participate in the 
management and direction of psychiatric programs and 
to exercise the full range of services authorized by the 
Psychologist Registration Act in the hospital. 

Summary of Alternative Bill Four: Amends the 
Hospital Licensing Act to require psychiatric services 
in hospitals to be provided under the management of a 
psychiatrist. Requires the Department to recognize the 
expertise and skills of psychologists in its hopsital 
licensing standards. 

Alternative Bills Five and Six (pages 231-238) 



Agency: Department of Public Health 

Rulemaking: Peremptory Rules for Drinking Water 
Systems (for Joint Committee objection, see pages 68- 
69) 

Background: The Department of Public Health adopted 
rules concerning public water supplies as federal- 
ordered rules in August 1979. The rules regulate water 
supplies in small communities (under 5000 population) 
and non-community water supplies serving 25 persons or 
more for at least 60 days per year (for example, a well 
used by a restaurant). Larger public water supplies are 
regulated by the Illinois Environmental Protection 
Agency. The purpose of the rules was to achieve 
primacy for the state for enforcement of the Federal 
Safe Drinking Water Act. 

The Joint Committee objected to the adoption of 
the rules as federal-ordered rules, since the rules are 
not actually mandatory. The Joint Committee also 
questioned whether the Department has statutory 
authority for the adoption of rules and whether the 
rules actually reflected the Department's policy, since 
the Department had indicatd that some of the rules 
would not be enforced. 



199 



The Joint Committee believes this issue should be 
resolved, but does not beileve it has the expertise or to 
make the policy decision involved. So, the Joint 
Committee is developing legislation to clearly 
authorize the rules (Alternative Bill Five) and 
alternative legislation to explicitly prohibit the 
adoption of these rules (Alternative Bill Six). 

Summary of Alternative Bill Five: Amends an Act in 
relation to public health. Provides that the Department 
of Public Health may adopt rules for the regualtion of 
public water supplies of a specified size. Further 
provides that no rules may be adopted unless they are 
shown to be necessary to protect the public health and 
not unreasonably costly. 

Summary of Alternative Bill Six: Prohibits the 
Department of Public Health from adopting rules 
concerning community or non-community water 
supplies. Places such rules solely under the authority of 
the Pollution Control Board and the Environmental 
Protection Agency. 

Alternative Bills Seven and Eight (pages 239-245) 



Agency: Department of Registration and Education 

Rulemaking: Rules for the Administration of the 
Illinois Nursing Act (for Joint Committee objection, see 
pages 69-70) 

Background: The Department of Registration and 
Education in September, 1979, proposed revised set of 
rules to administer the Illinois Nursing Act. The Joint 
Committee objected to the rules because of the lack of 
standards to govern the agency's decision regarding the 
withdrawal, suspension or placing on probation of a 
nursing school. The basis of the objection was the 
possibility for arbitrary action allowed by this lack of 
criteria and the fact that the statute is silent 
concerning revocation or suspension of approval. The 
Department refused to modify the rules. 

Because the Joint Committee believes that the 
General Assembly should consider the policy issues 
raised by this situation, the Joint Committee is 
suggesting two bills for General Assembly consideration 
— the first would clarify the Act in line with the Joint 
Committee's interpretation (Alternative Bill Seven), the 
other bill would clarify the Act in line with the 
Department's interpretation (Alternative Bill Eight). 



200 



Summary of Alternative Bill Seven: Amends the Illinois 
Nursing Act to provide for the suspension, revocation or 
placing on suspension of nursing schools. Requires the 
Director to develop criteria for such actions. Such 
criteria must be adopted as rules. 

Summary of Alternative Bill Eight: Amends the Illinois 
Nursing Act to provide for the suspension or revocation 
of approval of nursing nurses at the sole discretion of 
the Director of the Department of Registration and 
Education. 

Alternative Bills Nine and Ten (pages 247-269) 



Agency: Department of Revenue 

Rulemaking: Article 4 of the Retailers' Occupation Tax 
Act as it Pertains to Penalties of Perjury and Article 4 
of the Service Occupation Tax Act as it Pertains to 
Penalities of Perjury (for Joint Committee objection, 
see page 75) 

Background: The Department of Revenue in July 1979 
proposed amendments to their rules under the Retailers' 
Occupation Tax Act and the Service Occupation Tax 
Act. The amendments incorporated a provision 
requiring that returns must be verified by a written 
declaration that it is made under the penalties of 
perjury. 

The Joint Committee objected to this provision, 
believing that the Department lacks statutory authority 
for imposing perjury penalties. The Department argued 
that such authority could be implied under several 
recent judicial rulings which hold that an agency with 
authority to take oaths and promulgate regulations may 
require acts to be performed under oath. The Joint 
Committee believes that because this penalty is quite 
serious, the policy issue of whether the Department 
should be allowed to impose it or not should be decided 
by the General Assembly. 

Legislation is being presented by the Joint 
Committee authorizing the imposition of the penalty 
and prohibiting the Department from imposing such a 
penalty. These two alternative bills will allow the 
General Assembly to resolve this issue in one direction 
or the other. 

Summary of Alternative Bill Nine: Amends the 
Retailers' Occupation Tax Act by requiring that all 
returns and notices be filed under the penalties of 
perjury. 



201 



Summary of Alternative Bill Ten: Prohibits the 
Department of Revenue from requiring returns under 
the Retailers' Occupation Tax Act to be filed under 
penalties of perjury. 

Alternative Bills Eleven and Twelve (pages 271-282) 

Agency: Illinois Commerce Commission 

Rulemaking: General Orders 1 and 2 under the Illinois 
Commercial Relocation of Trespassing Vehicles Law 
(for Joint Committee objections, see pages 76-77) 

Background: The Joint Committee has objected to both 
General Orders issued by the Illinois Commerce 
Commission under the Commercial Relocation of 
Trespassing Vehicles Law, proposed December 15, 1978, 
and June 15, 1979. The basis of the objection to the 
first General Order was the lack of criteria for 
suspension or revocation of licenses. The Commission 
merely repeated the statutory language, instead of 
providing criteria. The second objection was to the 
uniform system of accounts which was viewed as 
unauthorized by the statute. 

Several other developments are relevant. First, 
during 1979 the General Assembly added a provision to 
the law setting the maximum rate at $35 (HB 1757, PA 
81-333), although the Commission has granted higher 
rates. A challenge is being brought against this 
provision in court in Cook County. The challenge is 
also likely to involve the lack of standards in the lav/ 
for the determination of rates. Another development is 
the fact that only Cook County is affected by the law 
at this time. The two downstate counties which opted 
in are now opting out largely because of the excessive 
nature of the Commission regulations. And, in Cook 
County the result of these regulations is that only the 
largest company can comply with the regulations and 
smaller companies are being forced out of the business. 

The Joint Committee has developed legislation to 
clarify the Act to specifically prohibit the Commission 
from imposing a uniform accounting system and 
alternative legislation to authorize the imposition of a 
uniform accounting system. Consideration of these two 
alternative bills will allow the General Assembly to 
address the policy issues involved. 

Summary of Alternative Bill Eleven: Amends the 
Illinois Commercial Relocation of Trespassing Vehicles 
Law to include legislative findings and to revise the 
rate-making authority of the Illinois Commerce 
Commission under the law. Provides that maximum 
fees for storage established by the Commission should 



202 



be based on typical business expenses and prohibits the 
Commission from imposing a uniform accounting 
system. Maintains $35 maximum charge for towing or 
relocation. 

Summary of Alternative Bill Twelve: Amends the 
Illinois Vehicle Code to allow the Illinois Commerce 
Commission to impose a uniform system of accounts on 
commercial relocators of trespassing vehicles. Also, 
clarifies purpose of the regulation of commercial 
relocation of trespassing vehicles. Maintains the $35 
maximum charge for relocation. 

Alternative Bills Thirteen and Fourteen (pages 283-293) 



Agency: Environmental Protection Agency 

Rulemaking: Rules and Emergency Rules for Issuance 
of Permits to New or Modified Air Pollution Sources 
Affecting Nonattainment Areas (for Joint Committee 
objections, see pages 81-82) 

Background: The Environmental Protection Agency 
adopted on an emergency basis rules for the issuance of 
permits to new or modified air pollution sources 
affecting nonattainment areas on May 4, 1979, and 
September 14, 1979. The agency at both times also 
proposed the rules as permanent rules, but to date the 
rules have not been adopted on a permanent basis. 

The Joint Committee objected to the rules in 
October, 1979, because of the improper use of the 
emergency rulemaking procedure. 

The Joint Committee also objected to the lack of 
clarity in the rules concerning the requirement for an 
offsetting emission reduction prior to operation of a 
new or modified air pollution source. Although the 
offset requirement is federally mandated to some 
extent, the agency has failed to delineate its specific 
policies in relation to the obtaining or transferring of 
rights to offsets. Since the Environmental Protection 
Act is silent on this issue, it is a matter of serious 
public concern, and the agency has failed to clarify its 
policy in rulemaking, an amendment to the statute is 
appropriate. 

Since the Joint Committee believes that the issues 
raised by these rules exceed its primary area of 
expertise, the Joint Committee is developing two 
alternative bills for consideration by the General 
Assembly — the first would allow the imposition of the 
offset requirement under certain conditions, while the 
other bill would prohibit the agency from imposing an 
offset requirement. 



203 



Summary of Alternative Bill Thirteen: Amends the 
Environmental Protection Act to allow the Pollution 
Control Board to impose an offset requirement for the 
granting of permits for the operation of air pollution 
sources. Makes the Environmental Protection Agency 
responsible for documenting emission reductions which 
may be used as offsets. Provides that the right to the 
use of a reduction as an offset is held by the owner of 
the source responsible for the reduction. Such rights 
may not be transferred. Further provides that a good 
faith effort to obtain an offset shall satisfy the 
requirement and that previous reductions and economic 
growth must also be considered. 

Summary of Alternative Bill Fourteen: Amends the 
Environmental Protection Act to prohibit the 
Environmental Protection Agency from imposing a 
requirement that owners or operators of air pollution 
sources obtain an offsetting reduction in air pollution 
emissions prior to the issuance of a permit for the 
operation of the air pollution source. Requires the 
agency to allow reasonable economic growth and to 
consider emission reductions achieved by the source in 
granting operating permits. 

Alternative Bills Fifteen and Sixteen (pages 295-302) 



Agency: Pollution Control Board 

Rulemaking: Amendments to Fugitive Particulate 
Matter Rules 

Background: In the August 10, 1979, issue of the Illinois 
Register, the Pollution Control Board proposed 
amendments to their air pollution rules concerning 
fugitive articulate matter. The Joint Committee did 
not object, but various members expressed serious 
concerns about the lack of specific and uniform criteria 
for designing nonattainment areas which will be subject 
to these regulations. The concerns about the criteria 
used were heightened by the inclusion of additional 
areas in the adopted version of the rule which were not 
included in the proposed version. 

The Joint Committee believes that the Board should 
be specifically required to develop and consistently 
apply these criteria because of the importance of this 
discretionary power of the Board. This is consistent 
with Section 4.02 of the Administrative Procedure Act 
which was added by Public Act 81-1129 and became 
effective January 1, 1980. Alternative Bill Fifteen 
would implement this position. 

The Joint Committee is also presenting alternative 
legislation to specifically exempt the Pollution Control 



2 04 



Board from stating criteria in this case. This would 
authorize the Board's current policy. Consideration of 
these alternative bills will allow the General Assembly 
to address the policy issues involved in this situation. 

Summary of Alternative Bill Fifteen: Amends the 
Environmental Protection Act to require the Pollution 
Control Board to adopt specific and uniform criteria for 
the designation of areas of the state as nonattainment 
areas. Provides that the Board must adopt such criteria 
by July 1, 1981. Designations will be invalid if they are 
not consistent with such criteria. 

Summary of Alternative Bill Sixteen: Amends the 
Environmental Protection Act to exempt the Pollution 
Control Board from the requirement of Section 4.02 of 
the Administrative Procedure Act, which requires 
standards or criteria to be stated in rules as the basis 
for any discretionary power, in regard to its designation 
of areas of the state that do not attain the standards 
for air quality or areas in which control measures will 
be enforced. 



205 



ALTERNATIVE BILL ONE 



8lst GENERAL ASSEMBLY 

State of Illinois 



INTRODUCED . 



1979 and 1< 
_. BY 



SYNOPSIS: 



(Ch. 23, pars. 5-5 and 12-4.25) 



Amends the Public Aid Code to provide that 
regulations adopted by the Department of Public Aid governing 
the dispensing of health services apply generally to all 
categories of health service vendors. Terms applying to only 
one vendor category must be included in the vendor agreement. 



LRB8108527SCraa 



A BILL FOR 



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LRBS108527$Cma 
AN ACT to amend Sections 5-5 and 12-<i.25 of "The Illinois 
jblic Aid CoJe"i approved April 11, 1967, as amended. 



^ 't enact^g py t,ne_ 



XhS iiitS Of nimoii, 



represent s 

Section 1. Sections 5-5 and 12-4.25 of "The Illinois 
Public Aid Code"« approved April 11, 1967, as amended are 
amended to read as follows: 

(Ch. 23, par. 5-5) 

Sec. 5-5. Medical services.) The Illinois Department, by 
rule, shall determine the quantity and quality of the medical 
assistance for whicn payment will oe authorized, and the 
medical services to oe provided, whicn may include all or 
part of the following: (1) inpatient hospital services; (2) 
outpatient hospital services; (3) other laboratory and x-ray 
services; (<») skilled nursing home services; (5) physicians' 
services whetner furnished in the office, the patient's home, 
a hospital, a skilled nursing home, or elsewhere; (6) medical 
care, or any other type of remedial care furnished Oy 
licensed practitioners; (7) home health care services; (8) 
private duty nursing service; (9) clinic services; (10) 
dental services; (11) physical therapy and related services; 
(12) prescribed drugs, dentures, and prosthetic devices; ana 
eyeglasses prescribed by a physician skilled in the diseases 
of the eye, or Dy an optometrist, whichever the person may 
select; (13) other diagnostic, screening, preventive, and 
rehabilitative services; (I'll transportation and such other 
expenses as may be necessary; (15) medical treatment of raje 
victims for injuries sustained as a result of tne rape, 
including examinations and laboratory tests to discover 
evidence whicn may be used in criminal proceedings arising 
from the rape; (16) any other medical care, and ony other 
type of remedial care recognized under the laws of this 
State, but not including abortions, or induced miscarriages 



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LRB8108527SCma 



1 or premature births, unless, in the opinion of a physician, 

2 such procedures are necessary for the preservation of the 

3 1 i f e of the woman seeking such treatment. or except an 
<, induced premature birth intended to produce a live viable 

5 child ano sucn procedure is necessary for the health of the 

6 mother or her unborn child. Trie preceding terms include 

7 nursing care and nursing home service for persons who rely on 

8 treatment by spiritual means alone through prayer for 

9 heal i ng. 

10 The Illinois Department. by rule, may distinguish and 

11 classify the medical services to be provided in accordance 

12 mth the classes of persons designated in Section 5-2. 

13 The Illinois Department shall establish such regulations 
l<t governing the dispensing of health services under this 
15 Article as it shall deem appropriate. Such regulations must 
i b aoaly, ..ae.ne.rai l y,..to aM caxejjjar ies of health service — YgrtOQrsa 

17 In formulating these regulations the Illinois Department 

18 shall consult with and give substantial weight to the 

19 recommendations offered by the Legislative Advisory 

20 Committee. The Department should seek the advice of formal 

21 professional advisory committees appointed by the Director of 
ZZ the Illinois Department for the purpose of providing regular 
23 advice on policy and administrative matters to the Illinois 
2* Department. 

25 All- dispensers of medical services shall be required to 

26 maintain and retain business and professional records 

27 sufficient to fully and accurately document the nature, 
23 scope, oetails and receipt of the health care provided to 

29 persons eligible for medical assistance under this Code, in 

30 accordance with regulations promulgated by tne Illinois 

31 Department. The rules and regulations shall require that 

32 proof of the receipt of prescription drugs, dentures, 

33 prostnetic devices and eyeglasses by eligible persons unoer 
3<t this Section accompany each claim for reimbursement submitted 
35 by tne dispenser of sucn medical services. No such claims 



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LRB8108527SCma 



for reuiDursement shall oe approved for payment by the 
Illinois Department without such proof of receipt. 

The rules and regulations of the Illinois Department 
snail require that a written statement including the required 
opinion of a physician shall accompany any claim for 
reimbursement for aDortions? or induced miscarriages or 
premature births. This statement snail indicate what 
procedures were used in providing such medical services. 

The Illinois Department shall require that all dispensers 
of medical services desiring to participate in the Medical 
Assistance program established under this Article to disclose 
all financial < beneficial? ownership, equity, surety or other 
interests in any and all firms, corporations, partnerships, 
associations, Business enterprises, joint ventures, agencies, 
institutions or other legal entities providing any form of 
health care services in this State under this article. 

The Illinois Department shall develop and operate, in 
cooperation witn other State Departments and agencies and in 
compliance with applicable federal laws ana regulations, 
appropriate and effective systems of health care evaluation 
and programs for monitoring of utilization of health care 
services and facilities, as it affects persons eligible for 
medical assistance under this Code. The Illinois Department 
shall report regularly the results of the operation of such 
systems and programs to the Legislative Advisory Committee 
on Public Aid to enable the Committee to ensure, from time to 
time, that these programs are effective and meaningful. 

The Illinois Department shall report annually to the 
General Assembly, no later than the second Friday in April of 
1979 and each year thereafter, in regard to: 

a) actual statistics and trenas in utilization of 
medical services by public aid recipients; 

b) actual statistics and trends in tne provision of tne 
various medical services by medical venoors; 

c) current rate structures and proposed changes in those 



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US 
IS) 

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LRBB108527SCma 



rate structures for the various medical vendors; ana 

d) efforts at utilization review and control by the 
Illinois Department. 

Tne period covered by each report snail be tne 3 years 
ending on the June 30 prior to the report. The report snail 
include suggested legislation for consideration oy the 
General Assembly. The filing of one copy of the report with 
the Clerk of the House of Representatives? one copy with the 
Secretary of the Senate and one copy with the Legislative 
Advisory Committee on Public Aid or its successor shall be 
deemed sufficient to comply with this Section. 
(Ch. 23. par. 12-4.25) 

Sec. 12-4.25. (A) The Illinois Department may deny, 
suspend or terminate the eligibility of any person. firm, 
corporation. association, agency, institution or other legal 
entity to participate as a vendor of goods or services to 
recipients under the medical assistance program under Article 
V. if after reasonable notice and opportunity for a hearing 
the Illinois Department finds: 

(a) Such vendor is not complying with either of the 
f ol lowing : 

( 1 | The Department's p«-r-t-e~y — or — ro+e-s-ana regulations 
adopted und er Article V to govern the dispensing of health 
servi ces. T-or— w-rth 

( 2 1 The terms and conditions prescribed t>Y the Illinois 
Department in the spec i f i c .ts vendor agreement for the 

ap plicabl e category of vendor. , wh-j-ch — aeeaaient Vendor 

ag reements shall be developed by the Department as a result 
of negotiations with each vendor category, including 
physicians. hospitals, long term care facilities, 
pharmacists, optometrists, podiatrists and dentists and shal 1 
is_l setttng forth the terms and conditions applicable to the 
participation of each vendor group in the program; or 

lb) Such vendor has failed to keep or maxe available for 
inspection, audit or copying. after receiving a written 



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request from the Illinois Department, such records regarding 196 

payments claimed for providing services. This section does 197 

not require vendors to make availaDle patient records of 198 

patients for whom services are not reimoursed under this 199 

Code; or 200 

(c) Such vendor nas failed to furnish any information 201 
requested b/ the Department regarding payments for providing 202 
goods or services; or 203 

(d) Such vendor has knowingly made. or caused to oe 20* 
made, any false statement or representation of a material 205 
fact in connection with the administration of the medical 206 
assistance program; or 207 

(e) Such vendor has f urni sned goods or services to a 208 
recipient which are (1) in excess of his or her needs. (2) 209 
harmful to the recipient, or (3) of grossly inferior quality. 210 
all of such determinations to be based upon competent medical 211 
judgment and evaluations; or 212 

(f) The vendor; a person with management respons i Di 1 i ty 213 
for a vendor; an officer or person owning, either directly or 21*. 
indirectly. 5* or more of the shares of stocK or other 215 
evidences of ownership in a corporate vendor; an owner of a 216 
sole proprietorship which is a vendor; or a partner in a 217 
partnership which is a vendor, either: 218 

(1) was previously terminated from participation in the 219 
medical assistance program; or 221 

(2) was a person with management responsi o i 1 ■ t y for a 222 
previously terminated vendor during the time of conduct which 223 
was the oasis for that vendor's termination from 22* 
participation in the medical assistance program; or 226 

(3) was an officer, or person owning, either directly or 227 
indirectly, 5t or more of the snares of stock or other 220 
evidences of ownership in a previously terminated corporate 229 
vendor ouring the time of conduct which was the basis for 23C 
that vendor's termination from participation in the medical 231 
assistance program; or 232 



212 



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L3Bdl08527SCma 



(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 
from participation in the medical assistance program; 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) has engaged in practices prohibited oy applicable 
federal or State law or regulation relating to the medical 
assistance program; or 

(2) was a person with management responsibility for a 
vendor at the time that such vendor engaged in practices 
prohibited by applicable federal or State law or regulation 
relating to the medical assistance program; or 

(3) was an officer, or person owning, either directly or 
indirectly. 5% or more of the shares of stock or other 
evidences of ownership in a vendor at the time such vendor 
engaged in practices prohibited by applicable federal or 
State law or regulation relating to the medical assistance 
program; or 

(*) was an owner of a sole proprietorship or partner of 
a partnership which was a vendor at the time such vendor 
engaged in practices prohibited by applicable federal or 
State law or regulation relating to the medical assistance 
program. 

(3) The Illinois Department shall deny, suspend or 
terminate the eligibility of any person, firm, corporation, 
association, agency, institution or other legal entity to 
participate as a vendor of goods or services to recipients 
under the medical assistance program under Article V: 

(1) if such vendor is not properly licensed; or 

(2) within 30 days of the date when such vendor's 



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professional license. certification or other authorization 269 

has been refused renewal or has oeen revoked. suspenoea or 270 

otherwise terminated. 271 

(C) Upon termination of a vendor of goods or services 272 

from participation in the medical assistance program 273 

authorized Dy this Article. a person with management 27<t 

responsibility for such vendor during the time of any conduct 275 

which served as tne basis for that vendor's termination is 276 

barred from participation in the medical assistance program. 277 

Upon termination of a corporate vendor, the officers and 279 

persons owning, directly or indirectly. 5* or more of the 280 

shares of stock or otner evidences of ownership in the vendor 281 

during the time of any conduct which served as the oasis for 282 

that vendor's termination are barred from participation in 283 

the medical assistance program. 28<t 

Upon termination of a sole proprietorship or partnership, 2d5 

the owner or partners during the time of any conduct which 286 

served as the basis for that vendor's termination are barred 287 

from participation in the medical assistance program. 289 

Rules adopted by the Illinois Department to implement 290 

these provisions shall specifically include a definition of 291 

tne term "management responsibility" as used in this Section. 292 

Such definition shall include, but not be limited to. typical 293 
job titles. and duties and descriptions which will be 

considered as within the definition of individuals with 29^» 

management responsibility for a provider. 295 

(0) If a vendor has been suspended from the medical 296 

assistance program under Article V of the Code, the Director 297 

may require that sucn vendor correct any deficiencies wmch 298 

served as the oasis for the suspension. The Director snail 299 

specify m the suspension order a of the order, during wnich 300 

a suspended vendor shall not be eligible to participate. At 301 

the conclusion of the period of suspension the Director snail 302 
reinstate sucn vendor, unless he f i nos that such vendor nas 

not corrected deficiencies upon which the suspension was 303 



214 



Al 



LRB8108527S>_ma 



I based. 

Z If a vendor nas Deen terminated fro.ii tne medical 

3 assistance program under Article Vt such vendor shall be 

^ barred from participation for at least one year. At the end 

5 of one year a vendor who has Deen terminated may apply for 

fa reinstatement to the program. Upon proper application to De 

7 reinstated such vendor may be deemed eligible by the Director 

d providing that Such vendor meets the requirements for 

9 eligibility under this Act. 

10 (E) The Illinois Department may recover money improperly 

11 or erroneously pa i d » or overpayments* either by setoff* 

12 crediting against future billings or oy requiring direct 

13 repayment to the Illinois Department. 

1«, (F) The Illinois Department may withhold payments to any 

15 vendor during the pendency of any proceeding under this 

16 Section except that if a final administrative decision has 

17 not been issued within 120 days of tne initiation of such 
13 proceedings* unless delay has been caused by the vendor* 

19 payments can no longer be withheld* provided* however, that 

20 the 120 day limit may De extended if said extension is 

21 mutually agreed to by tne Illinois Department and the vendor. 
ZZ The Illinois Department shall state by rule with as much 
23 specificity as practicable the conditions under wmch 
Z* payments will not be withheld during the pendency of any 
25 proceeding under this Section. Payments may be denied for 
Zb bills submitted with service dates occurring during the 
27 pendency of a proceeding where the final administrative 
ZS decision is to terminate eligibility to participate in the 
2? medical assistance program. The Illinois Department snail 

30 state by rule with as much specificity as practicable the 

31 conditions unaer which payments will not be denied for such 

32 bills. 

33 (&) The provisions of the Aomi ni strat i ve Review Act. 
3^, approved May 3, 19<»5. as now or hereafter amended* and the 
35 rules adopted pursuant thereto* shall apply to and govern all 



30". 

305. 

30to 
307 
3 0b 
309 

310 

312 
313 
31-, 
315 
317 
313 
319 
32C 
32i 
322 

323 
32^ 
325 

lib 



32S 
33C 
331 
33, 



33- 

lit 



Al 



215 



LR681Q8527SCma 



proceedings for the judical review of final aomi ni strati ve 
decisions of the Illinois Department under this Section. The 
term "administrative decision" is defined as in Section l of 
the Administrative Review Act. 

(H) Nothing contained in this Code shall in any way 
limit or otherwise impair the autnority or power of any State 
agency responsiole for licensing of vendors. 



337 
338 
339 

3*1 

3<,2 
3-^3 



216 



Al 



ALTERNATIVE BILL TWO 



81st GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
BY 



STNOFWS: (ch> 23 f pars> 5 _5 and 12-4.25) 

Amends Public Aid Code to provide that rules 
adopted by the Department of Public Aid governing the 
dispensing of health services may apply to a single category 
of health service vendors despite the requirement that the 
Department develop vendor agreements with each category of 
vendors . 



LRB8109376SCJD 



A BILL FOR 



217 





tf.L,d 10937bS: jc 




1 


AN ACT to amend Sections 5-5 ana 12-<..25 of "The Illinois 


•,9 


2 


Public iia Coae'i acopted April 11, 1967, as anendea. 


52 


3 


fig tt enacted Oy the People of the Stat* of Illinois, 


55 


* 


teu^£ii;nied_±2_U2S_ieDeL^i_*siL£a}2jLi;i 


56 


b 


Section 1. Sections 5-5 and 12-^.25 of "The Illinois 


57 


o 


Public Aid Cooe", aoopted April 11, 19b7, as amended, are 


5o 


7 


amended to read as follows: 


59 




(Ch. 23, par. 5-5) 


61 


8 


Sec- 5-5. Medical services.) The Illinois Department, by 


62 


9 


rule, shall determine the quantity and quality of tne medical 


63 


10 


assistance for which payment will be authorized, ano the 


61 


11 


medical services to be provided, which may include all or 


65 


12 


part of the following: (1) inpatient hospital services; (2) 


66 


13 


outpatient hospital services", (3) other laboratory ano X-ray 


o7 


1<» 


services; ( <r ) skilled nursing home services; (5) physicians' 




15 


services whether furnished in the office, the patient's home. 


66 


lo 


a hospital, a skilled nursing home, or elsewhere; (6) medical 


69 


17 


care, or any other type of remedial care furnished by 


70 


Id 


licensed practitioners; (7) home health care services; (8) 


71 


19 


private duty nursing service; (9) clinic services; (10) 


72 


20 


oental services; (11) pnysical therapy and related services; 


73 


21 


(12) prescribed drugs, dentures, and prosthetic devices; and 




22 


eyeglasses prescribed by a physician skilled in the diseases 


70 


21 


of the eye, or by an optometrist, whichever the person may 


75 


2<. 


select; (13) other diagnostic, screening, preventive, and 


76 


2b 


r enabi 1 i tat i ve services; ( 1 <• ) transportation an3 such other 


77 


it, 


expenses as may oe necessary; (15) medical treatment of rape 


76 


L l 


victims tor injuries Sustained as a result of tne rape. 


79 


2d 


including examinations and laboratory tests to discover 




29 


evidence wnich may be used in criminal proceedings arising 


80 


33 


from the rape; llo) any other medical care, and any otner 


81 


31 


type of remedial c^re recognized under the laws ot tnis 


62 


32 


State, cut not including aoortions, or induced miscarriages 


83 



2 1 



A2 



-2 - L a ba l U937&SC jp 

1 or prtfiuture birtns. unless, in the opinion of a physician, 

2 such procedures are necessary for the preservation of trie 

3 life of tne woman seeKing such treatment. or except an 
«, inoucea premature Dirth intenoed to produce a live viaDle 
5 child and such procedure is necessary for the healtn of the 
t mother or ntr unoorn cnild. The preceding terms incluue 
7 nursing care dnj nursincj home service for persons who rel/ on 
g treatment Dy spiritual means alone tnrough prayer for 
9 heal ing. 

10 The Illinois Department* Dy rule, may distinguish and 

11 classify the medical services to be provided in accordance 

12 uitn tne classes of persons designated in Section 5-2. 

13 The Illinois Department snail establish such rules 
l«t rtgn+otTenj governing the dispensing of health services under 
15 this Article as it shall deem appropriate. S uch rul es may 
lb appl y_3£ne_ra' 1 y_j.a_jl 1 categpr j e_a_pf ..heaJLjj] s^ryice YfiDCtCLS 

Cr Eiiy. 3PP) y QDlx to a_5'0g,le car£3Qr_y Qf heal rh_jervic^ 

v endorst notwithstanding the req uirement u nder Sec t i on 

lZzitiii that the I » 1 ■ n < ? i S De aailtrnejvt._de^eJj^_^^e^rjign_t,s_B-LIi] 

fid£Q c ategory of v en dors . In formulating these rules 

rego+at-ron-s the Illinois Department shall consult with ana 
give substantial weight to tne r ecomir.enoat i ons offered oy the 
Legislative Advisory Committee. The Department should seek 
the advice of formal professional advisory committees 
appointed Dy the Director of the Illinois Department for the 
purpose of providing regular advice on policy ano 
administrative matters to the Illinois Department. 
23 All dispensers of medical services shall De required to 

29 maintain and retain business and professional records 

30 sufficient to fully ana accurately document tne nature. 

31 sco^e, details ano receipt of the healtn care provided to 

32 persons eligible for medical assistance under this Code. in 

33 accordance with regulations promulgated Dy the Illinois 
3<t Department. The rules and regulations shall require that 
j5 proof of tne receipt of prescription orugs» dentures. 



100 
101 
102 
103 
104 

' 05 
106 
106 
109 
1 10 



A2 



219 





-3- l^e31G<*37o3C jD 




1 


proitnt'tic uevices and eyeglasses Dy eligible persons unaer 


lib 


- 


tnis Section occonpany each claim for re i incur sement submitted 


117 


i 


Dy trie dispenser of such medical services. No such claims 


118 


- 


for reicDjrse-r.trit shall ue approved for payment Dy the 


119 


5 


Illinois department without such proof of receipt. 


120 


° 


The rules ano regulations of the Illinois Department 


121 


7 


snal ) require tnat a written statement including the requirea 


122 


-~ 


opinion of a priysician shall accompany any claim for 


123 


9 


re i mDur sement for aDortions, or induceo miscarriages or 


12* 


10 


premature births- This statement shall indicate what 


125 


1 1 


procedures were used in providing such medical Services. 


126 


12 


The Illinois department shall require that all dispensers 


127 


13 


of medical services desiring to participate in tne Medical 


128 


1* 


Assistance proyram established under this Article to disclose 


129 


15 


all financial, beneficial, ownership, equity, surety or other 


130 


16 


interests in any and all firms, corporations, partnerships. 


131 


17 


associations, business enterprises, joint ventures, agencies. 


132 


Id 


institutions or other legal entities providing any form of 


133 


19 


health care services in tnis State under this article. 


13* 


20 


The Illinois Department shall develop and operate, in 


135 


21 


cooperation with other State Departments and agencies and in 


136 


2 2 


compliance with applicable federal laws and regulations. 


137 


23 


appropriate and effective systems of health care evaluation 


138 


2* 


and programs for monitoring of utilization of nealth care 


139 


25 


services and facilities, as it affects persons eligible for 


!*0 


26 


medical assistance under this Code. The Illinois Department 


I'll 


27 


snail report regularly the results of the operation of Such 




26 


systems and programs to tne Legislative Advisory Committee 


1*2 


2 3 


on PuDlic Aid to enable tne Committee to ensure, from time to 


1*3 


3j 


time, that tnese programs are effective d"o meaningful. 


1*5 


j 1 


Tne Illinois Department Shall report annually to the 


Nt 


32 


General Assemoly, no later tnan the second Friday in April of 


1*7 


33 


i979 anc each year thereafter, in regard to: 


1*9 


3^ 


a) actual statistics and trends in utilization of 


150 


33 


meoical services by public aid recipients; 


152 



220 



A 2 



JP 



tne 



b) dCtudl statistics cine trends in tne provisi 
various medical services Dy meoical vendors; 

c) current rote structures and proposed changes in tnose 
fate structures for tne various medical vendors; and 

a) efforts at utilization review ano control by tne 
II 1 moi s Jepar tr.ent- 

Tne perioc covered by each report shall De tne i years 
enain^ on the June 30 prior to the report. The report snail 
include suggested legislation for cons i oer at i on oy the 
General Assembly. The filing of one copy of the report with 
the Clerk of the House of Representatives, one copy with the 
Secretary of the Senate ano one copy with the Legislative 
Advisory Committee on Public Aid or its successor shall oe 
deemed sufficient to comply with this Section. 

(Ch. 23. par. 12-4.25) 

Sec. 12-4.25. (A) The Illinois Department may deny, 
suspend or terminate the eligibility of any person, firm, 
corporation, association, agency, institution or other legal 
entity to participate as a vendor of goods or services to 
recipients under the medical assistance program under Article 
V. if after reasonable notice ano opportunity for a hearing 
tne Illinois Department finas: 

(a) Such vendor is not complying with e i ther of the 
i ol lo ajjisi. 

I 1 ) the Department's pe^t-ey-or rules and — fego+at.ons, 

sLfjQCJ.ed under Arii_c.l£ v to g overn the dispensing of health 

se r v i ces; or w-i-th 

( 2 ) the terms ano conditions prescribed by the Illinois 

Department in j.hg iEec.ilii 'ts vendor agreement f or tne 

d2iiic fible i.HS^QS_x QL vendor^. — «h,eh docotent v^ngo_r 

3 .»-£-£ £2£Oii shall oe oevelopeo by the Department as a result 
of negotiations witn eacn vendor category, including 
pnysicians, hospitals. long term care facilities, 
pnar mac i sts , optometrists, podiatrists and dentists ano snal 1 
S_e_L -settT«5 forth the terms ana conditions applicable to tne 



153 
155 
15b 
158 
159 
161 
1&2 

163 



158 

169 

171 
1 7 2 
173 
174 
175 
176 
177 
1 78 
179 
180 
182 
183 
184 



189 
190 



A2 



221 



.Rfcbl0937t,SC ID 



participation of each vendor c,roup in tne program; or 

(D) wen vendor has fa. lea to Keep or make available for 
msprcuon, Judt or copying, after receiving a written 
request from the Illinois Department, sucn recorcs regaro.ng 
payments claimed for providing services- Tnis section ooes 
not require vendors to make available patient records of 
patients for .njir services are not reimbursed under tnis 
Code; or 

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

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

(e) Such vendor has furnished goods or services to a 
recipient wnich are (1) in excess of his or her needs, (2) 
harmful to the recipient, or (3) of grossly inferior quality, 
all of such determinations to be based upon competent meoical 
judgment and evaluations; or 

(f) The vendor; a person with management responsibility 
for a vendor; an officer or person owning, either directly or 
indirectly, 5i 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 venoor ; 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 responsibility for a 
previously terminated vendor during tne time of conduct wnich 
was the Dasis for tnat vendor's termination froir 
participation in the .necical assistance program; or 

(3) was an officer, or person owning, either directly or 
■MOtrectly, Si or more of the shares of stock or other 
evidences of ownership in a previously terminated corporate 



195 
196 
197 
198 
199 
200 

20 l 
202 
203 
204 
205 
2 06 
207 
208 
209 
21C 

21 1 
212 
212 
2 1- 
Z1J 
216 



222 



A2 





-b- LI<beiC93 76SCjP 




1 


vendor curing the nm- of conouct wnich was the Dasis for 


231 


< 


tciat vendor's termination from participation in the .T.eoica) 


232 


3 


assistance program; or 


233 


- 


(M was an o-mer of a sole proprietorship or partner of 


23<t 


5 


a partnership wnich was previously terminated Ounng t ne time 


235 


° 


of conduct wnich was the basis for that vendor's termi not i on 


236 


7 


IruT. participation in tne medical assistance program; or 


238 


« 


I _j ) The vendor; a person with management responsibility 


^39 


" 


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


2<.0 


10 


indirectly, 5i or more of the shares of stock or other 


2h1 


11 


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


2<*Z 


12 


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


2<.3 


13 


partnership which is a vendor, either: 


2<,4 


1<| 


(1) has engaged in practices prohibited by applicable 


2^5 


I 15 


federal or State law or regulation relating to the medical 


2<,6 


16 


assistance program; or 


2<.7 


17 


(2) was a person with management responsibility for a 


2<»e 


lb 


vendor at the time that such vendor engaged in practices 


2<t9 


19 


prohibited by applicable federal or State law or regulation 


250 



relating to the medical assistance program; or 252 

(3) was an officer, or person owning, either directly or 253 

indirectly, 5t or more of the shares of stock or other 25<t 

evidences of ownership in a vendor at the time such vendor 255 

engaged in practices prohibited by applicable federal or 2 5b 

State law or regulation relating to the medical assistance 257 

program; or £58 

(<t) was an owner of a sole proprietorship or partner of 259 

a partnership wnich was a vendor at the time such vendor 260 

en 3 aged in practices prohibited by applicable federal or 261 

State law or regulation relating to th» meoical assistance 262 

projra.T.. ? bi 

(B) The Illinois Department shall deny, suspend or 26<< 

terminate tne eligibility of any person, firm, corporation, 265 

association, agency, institution or other legal entity to 266 

participate as a vendor of gooos or services to recipients 267 



A2 



223 



-7- Lftb610937hSCjp 

unocr tr,f medical assistance program under Article v: 269 

(1) if sucn vendor is not properly licensed; or 271 

ii) within 30 Cays of the cate wnen such vendor's 272 

professional license, certification or other authorization 273 

has Deen refused renewal or has oeen revoked, suspended or 27*, 

otherwise terminated- 275 

(C) ^pon termination of a vendor of jcods or services 27b 

from participation in the medical assistance program 277 

authorized by this Article, a person with management 278 

responsibility for such vendor during the time of any conouct 279 

wnich served as the oasis for that vendor's termination is 280 

oarreo from participation in the medical assistance program. 281 

Upon termination of a corporate vendor, the officers and 283 

persons owning, directly or indirectly, 5X or more of the 28*, 

shares of stock or other evidences of ownership in the vendor 285 

during the time of any conduct which served as the basis for 286 

that vendor's termination are barred from participation in 287 

the medical assistance program. 288 

upon termination of a sole proprietorship or partnership, 289 

the owner or partners during the time of any conduct wnich 290 

served as the basis for that vendor's termination are oarreo 291 

from participation in the medical assistance program. 293 



Zi 


Rules adopted by the Illinois Department to implement 


29<. 


Z<i 


these provisions shall specifically include a definition of 


295 


25 


the term "management responsibility" as used in tnis Section. 


296 


26 


Sucn definition shall include, but not oe limited to, typical 


297 


27 


job titles, and duties and descriptions which will oe 


298 


28 


considered as within the definition of individuals with 


299 


29 


management responsibility for a provider. 


300 


3u 


|u) If a vendor has been suspenoed from the meoical 


301 


3i 


assistance program under Article V of the Lode, the Jirector 


3^2 


32 


may require that such vendor correct any deficiencies wnicn 


303 


3J 


served as the pasis for the suspension. The Director shall 


i0>. 


3<- 


specify in the suspension order a of the oroer, during wnich 


305 


35 


a suspended vendor shall not oe eligible to participate. At 


306 



224 



k2 



l_RhdlG9376SC jp 



tne c one I l 
rei nstdie 



i on of trie period of suspension 
>uch vendor t unless he fines tr 
■a deficiencies upon which tr 



If a vendor nas Deen terminated from the medical 
assistance program under Article V, such vendor snail be 
parrt3 f r otp participation for at least one year, at the end 
of one year a vendor who nas Deen terminated may apply for 
reinstatement to the program. Upon proper application to De 
reinstated such vendor may be deemed eligible by the Director 
providing tnat Such vendor meets the requirements for 
eligibility under tni s Act. 

(c) The Illinois Department may recover money improperly 
or erroneously paid* or overpayments , either by setoff, 
crediting against future billings or by requiring direct 
repayment to the Illinois Department. 

(F) The Illinois Department may withnold payments to any 
vendor during the pendency of any proceeding under this 
Section except that if a final administrative decision has 
not oeen issued within 1Z0 days of the initiation of such 
proceedings, unless delay has oeen caused by the vendor, 
payments can no longer be withheld, provided, however, that 
tne 120 day limit may be extended if said extension is 
mutually agreed to by the Illinois Department and the vendor. 
The Illinois Department shall state by rule with as much 
specificity as practicable tne conditions under which 
payments will not be withheld during the pendency of any 
proceeomg under this Section. Payments may be denied for 
bills suon.itted with service dates occurring during the 
penJtncy of a proceeding where the final aoni n i s t r et i ve 
decision is to terminate eligibility to participate in the 
medical assistance program. The Illinois Department snail 
state by rule with as much specificity as practicable the 
conoitions under whicn payments will not be denied for such 



310 
311 
312 

313 



3ib 
317 
318 
319 

320 
322 
323 



328 
32V 
3 30 
331 
3 32 



33b 
33fc 
337 
338 



A 2 



225 



-9- LPc6!0937bS>_jp 

1 |u) The provisions of trie JS0«iinistr o tive nev.e- Act. 5*0 

2 approved May B, 19<»5» as no- or hereafter amended, ana trie 3<t 1 

3 rules dOoptea pursuant thereto, shall apply to ana govern all 3<.2 
■^ proceedings for tne judicial review of final administrative 3<»3 
b decisions of the Illinois Department under this Section. Tne 3<t<i 
fa term "administrative decision" is defined as in Section 1 of 3^5 
7 trie Administrative Review Act- 3-rfa 
J IHj .Nothing contained in this Cooe shall in any way 3»>7 
9 liitit or otherwise impair the authority or power of any State 3^.8 

10 agency responsible for licensing of vendors. 3^9 



226 



A2 



ALTERNATIVE BILL THREE 



INTRODUCED . 



8lst GENERAL ASSEMBLY 
State of Illinois 

1 9">9 and 1980 

BY 



SYNOPSIS: 



(Ch. Ill 1/2, par. 147.1) 



Amends the "Hospital Licensing Act" by requiring 
that provisions be made in the standards established by the 
Department of Public Health for the employment of clinical 
psychologists in the management and direction of hospital 
psychiatric programs. 



LRB8108696FGch 



A BILL FOR 



227 



LRB8108696FGcf 



1 An Act to amend Section 6.1 of the "Hospital Licensing 

2 Act", approved July 1? 1953. as amended. 



fifi Li £fldcjL£fl ax the People of the State of IHmoisi 

repre se nted in the Genera) Assembly: 



Section 1. Section 6.1 of the "Hospital Licensing Act", 
approved July 1. 1953. as amended, is amended to read as 
f ol lows: 

(Ch- 111 1/2, par. 1*7.1) 

Sec. 6.1 In licensing any hospital which provides for the 
diagnosis, care or treatment for persons suffering from 
mental or emotional disorders or for mentally retarded 
persons, the Department shall consult with the Department of 
Mental Health and Developmental Disabilities in developing 
standards for and evaluating the psychiatric programs of such 
hospi tal s. 

Such standards spa,] l ..include provisions relating — is. ins 

em.pl Qymgnt — al clinical psychologi stsi registered under the 

Psychologist Registration ftcti La ihs management anfl 

d « re ctj_o.n of psychiatric pro gra m s, ajQii provide iar th& 

exercise D_y s uch psychologists of L£i£ full range of 



professional st 



by that Act tn the hospital 



228 



A3 



ALTERNATIVE BILL FOUR 



81st GENERAL ASSEMBLY 
State of Illinois 



INTRODUCED . 



1979 and 1980 
BY 



SYNOPSIS: 



(Ch. Ill 1/2, par. 147.1) 



Amends the "Hospital Licensing Act" by requiring 
psychiatric services in hospitals to be managed by a 
psychiatrist. Requires the Department of Public Health to 
recognize the expertise of psychologists in its hospital 
licensing standards. 



LRB8109377FGtc 



A BILL FOR 



229 



LRB3109}77FGtC 



i AN ACT to amend Section 6.1 of the "Hospital Licensing 

Z Act", approved July 1. 1953t as amended. 



-Li £na.c_LE 

L__^______-_£ai_L__- 



-P.eapl£- 

iSD£r_di_ A -iS£l!£LUi 



Section l. Section 6.1 of the "Hospital Licensing Act", 
approved July It 1<>53» as amended, is amended to read as 
f ol 1 ows: 

(Ch. Ill 1/2. par. 1<.7.1) 

Sec. 6.1 In licensing any hospital which provides for the 
diagnosis, care or treatment for persons suffering fro* 
mental or emotional disorders or for mentally retarded 
persons, the Department shall consult with the Department of 
Mental Health and Developmental Disaoilities in developing 
standards for and evaluating the psychiatric programs of such 
hospi tal s. 

asf 'nea La Secfpn l___Q3 ol — lbs __si) taj Health .am 



_fiiy.cJ30_l.g_aj_s.ls. 



PeYg|QBment_i' Sisapi ! jtjes Lsmsj stod aJL 

r egistered under the P s ychologist Re 

X_<.Co JQi-iea.. ' n SUCh St a n Oar _.___. Haweve r t LbS D epartmen t may 

fg-iu're payr. Dpi agists — is — serve — under — ___£ direction or 



21 super vision of a psychiatrist. Such standards shal 

ZZ psychia tric services to be provided only under th e 



aanaggment 



230 



M 



ALTERNATIVE BILL FIVE 



Slst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 

BY 



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

Amends An Act relating to public health. 
Restricts pow«*r of Department of Public Health to make rules 
relating to drinking water to community water supplies in 
communities of less than 5000 and non-community water 
supplies serving 25 or nore persons for at least 60 days a 
year. Prohibits Department from adopting rules governing 
areas covered by Pollution Control Board or Environmental 
Protection Agency rules. Requires Department to make written 
findings that rules adopted under this provision will not 
result in unreasonable cost and are necessary to protect the 
public health. 



LRB8108558SCtc 



fiscal Note Ad 
may be applicable 



A BILL FOR 



231 



LRB8108558SCtc 

1 AN ACT to amend Section 2 of "An Act in relation to 

2 public health", approved May 28, 1877, as amended. 



Be it enacted ov the People of the State of Illinois. 



Section 1. Section 2 of "An Act in relation to public 63 

health", approved May 28, 1S77, as amended, is amended to 64 

read as follows: 65 

(Ch. Ill 1/2, par. ZZ) 67 

Sec. 2. The State Department of Public Health has 68 

general supervision of the interests of the health and lives 69 

of the people of the State. It has supreme authority in 70 

matters of quarantine, and may declare and enforce quarantine 71 
when none exists, and may modify or relax quarantine when it 

has been estaol ished. The Department may adopt, promulgate, 72 

repeal and amend rules and regulations and make such sanitary 73 

investigations and inspections as it may from time to time 7*, 

deem necessary for the preservation and improvement of the 75 
public health, consistent with law regulating the following: 

(a) Transportation of the remains of deceased persons. 77 

(b) Sanitary practices relating to drinking water made 79 
accessible to the public for human consumption or for 80 

lavatory or culinary purposes. Ihs. Qepartme.rU ffflv adopt 81 

rules under th is provision governing commun ity water supplies 82 

Don-community water subp! tes serving ^3 persons or more for 83 

a t least bQ days per year, whicn a re qoj, covered D_y. rules 8<. 

85 



adacii 



' dilution Control Board or the Environmental 



Protecxxon Agency, Before adopt »ng aay. r ule s under — tnis 

provisioni trie Department must maKe written findings that trie 
OLQAQifid — mlfes (II wjil not result in unreasonable costs to 

pubJax — Bdiex supplies? and Ul are necessary to protect the 

aub_LLc_n£d±ixu 



232 



A 5 



-2- 



LRB8108553SCtC 



1 (c) Sanitary practices relating to rest room facilities 91 

2 made accessible to trie public or to persons handling food 92 

3 served to the public. 94 

4 (d) Sanitary practices relating to disposal of human 95 

5 wastes in or from all buildings and places where people live. 96 

6 work or assemble. 97 

7 The provisions of "The Illinois Administrative Procedure 98 

8 »ct"i approved September 22t 1975« are hereby expressly 99 

9 adopted and shall apply to all administrative rules and 100 

10 procedures of the Department of Public Health under this Act. 101 

11 except that Section 5 of the Illinois Administrative 102 

12 Procedure Act relating to procedures for rule-making does not 103 

13 apply to the adoption of any rule required by federal law in 

14 connection with which the Department is precluded by law from 104 

15 exercising any discretion. 106 

16 All local boards of health, health authorities and 107 

17 officers, police officers, sheriffs and all other officers 108 

18 and employees of th« state or any locality shall enforce the 109 

19 rules and regulations so adopted. 110 

20 The Department of Public Health shall investigate the 111 

21 causes of dangerously contagious or infectious diseases, 112 
ZZ especially when existing in epidemic form, and take means to 113 

23 restrict and suppress the same, and ulnenmver such disease 114 

24 becomes, or threatens to become epidemic, in any locality and 115 

25 the local board of health or local authorities neglect or 116 

26 refuse to enforce efficient measures for its restriction or 

27 suppression or to act with sufficient promptness or 117 

28 efficiency, or whenever the local bosrd of health or local 118 

29 authorities neglect or refuse to promptly enforce efficient 119 

30 measures for the restriction or suppression of dangerously 120 

31 contagious or infectious diseases, the Department of Public 

32 Health may enforce such measures as it deems necessary to 121 

33 protect the public health, and all necessary expenses so 122 

34 incurred shall ba paid by the locality for which services am 123 

35 rendered. 12<, 



A5 



2 J 3 



l_R88108558SCtc 



The Department of Public Health may establish and 125 

maintain a chemical and bacter i ol og > c laboratory for tne 12b 

examination of water and wastes, and for the diagnosis of 127 

dipnthendi typhoid fever? tuberculosis, malarial fever and 128 

such other diseases as it deems necessary for the protection 129 

of the public health. 130 

As used in this Act. "locality" means any governmental 131 

ayency which exercises power pertaining to public health in 132 

an area less than the State. 13*. j 

I 

The terns "sanitary investigations and inspections" and 135 

"sanitary practices" as used in this Act shall not include or 136 

apply to "Public Mater Supplies" or "Sewage Works" as defined 137 

in the "Environmental Protection Act". 138 



234 



A 5 



ALTERNATIVE BILL SIX 



8lst GENERAL ASSEMBLY 
State of Illinois 



1979 and 1< 
__, BY 



SYNOPSIS: 



(Ch. 



Ill 1/2, par. 22) 



Amends An Act relating to public health. 
Prohibits Department of Public Health from adopting rules 
relating to water quality standards. Places such rule making 
power solely under the authority of the Pollution Control 
Board, the Environmental Protection Agency and federal 
authorities. 



LRB8109378SCak 



A BILL FOR 



235 



ACT t< 

nea I tt 



nenc Section 2 of "Ar 
approvea May 28, lb77i 



js amended. 



3 ce Lt £Qd£i£fl cy tne Peop le ot tn e State or LLii_n,oi sj 

<» represented in the gener al Assemb ly: 

5 Section 1. section 2 of "An Act in relation to public 
o health", approved May 2«. 1B77, as amended, is amenaea to 
7 read as foil ows: 

(Cn. Ill 1/2, par. 22) 

6 Sec. 2. Tne state Department of Public Health nas 
9 general supervision of tne interests ot tne neal cn ana lives 

10 of tne people of the State. lt nas supreme autnority in 

11 matters of quarantine, and may Declare ana enforce quarantine 

12 when none exists, ana may moo, f y or relax quarantine when it 

13 has Deen estaolisnea. The Department may aaopt, promulgate, 
1«» repeal ana amend rules ana regulations and mane sucn sanitary 
15 investigations and inspections as it may from time to time 
lt> deem necessary for the preservation and improvement of tne 
17 public health, consistent with law regulating tne following: 
Id (a) Transportation of tne remains of deceased persons. 
19 (D) Sanitary practices relating to orinmng water maoe 
2u accessiole to tne puol ic for human consumption or tor 

21 lavatory or culinary purposes. T he Je Dartfiient m ay not ao out 

22 rulgs. under tm s provision rela ting to water cua l i ty 

2- 3 iL^D_gaxO_s.i Rul es r el at i ng £c such st anaaros snol) u£ 

2* cromulijiej ieIe_Ly ax —ifle £gi Iuvlod. Lsasioj a&mii 

2 r> LaxiX Jame.n_t.sii pr plgc_t.j_o.Q A j£QC„y. staa AilULQiLLjiksi LeSs££fli 

27 (c) Sanitary practices relating to rest room facilities 

2d maoe accessiDle to tne puolic or to persons handlin., fooo 

2v served to tne puDlic. 

3J (d) Sanitary practices relating to disposal of human 

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

32 work or assemble. 



236 



A6 



. Kb61J?.57')S._cK 



le 1 



Tne provisions of 

Act", approved September 22. I97i>, ajs SifigQfleOLi are hereDy 

expressly acopteo ana snail apply to all administrative rules 
and procedures or the Department of Public heal tn unoer tms 
Actr-rxtept-tnat-5cCfefl-5 — et — tne— rUtnofj — *oi»tntitr-etr»c 
Pr9f«r«o't-«et-retatrn^- te-pn5ec3nfes-fer-rijl-e-m3K.fl--det;5-fi8t 

fonfleetioi-«tth-»nTCh-tfle-6epafts!e«t-Ti-prri:+in)eo-C7- + iH-ff3» 
fitrttiTn5-on T -at5tretT8ft. 

All local boards of health, health authorities and 
officers. police officers. sheriffs and all other officers 
and employees of the state or any locality shall enforce tne 
rules and regulations so adopted. 

Tne Department of Public Health snail investigate the 
causes of dangerously contagious or infectious diseases, 
especially uhen existing in epidemic form, and take means to 
restrict and suppress the same, and whenever sucn disease 
becomes, or threatens to Decome epidemic, in any locality and 
tne local Doard 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 Doard of healtn or local 
autnorities neglect or refuse to promptly enforce efficient 
measures for the restriction or suppression of dangerously 
contagious or infectious diseases, the Department of Public 
Healtn may enforce such measures as it deems necessary to 
protect the public health, and all necessary expenses so 
incurred snail oe paid Dy the locality for which services are 
rendered. 

Tne Department of PudIic Health may establish ana 
maintain a chemical and bacter i ol ogi c laboratory for tne 
examination of water and wastes, and for the diagnosis of 
dipnthena, typhoid fever. tuDcr cul osi s • malarial fever and 
such other diseases as it deems necessary for tne protection 
of the public health. 



100 
101 
102 
103 
10« 
105 

106 

ID? 
100 
109 

110 

lii 
1 1. 
113 
11*. 
US 
1 16 

in 



A 6 



237 



L«t3l 0937oSl 



as used in tn.s Act, "locality" means any governmental 120 

ncy -h.cn exercises power pertaining to puol.c health .n 121 

;irea less than tne State. ^3 

Tne terms "sanitary investigations and inspections" ana 12<. 

mtary practices" as used in tn.s Act shall not include or 125 

ly to "PudIic -ater Supplies" or "Sewoge horns" as aefmea 12b 

127 



oniiifcntal Protection Act" 



238 



A6 



ALTERNATIVE BILL SEVEN 



81st GENERAL ASSEMBLY 
State of Illinois 



INTRODUCED . 



1979 am! 1980 
_. BY 



SYNOPSIS: {ch _ lllf par . 3407) 

Amends the Illinois Nursing Act to require the 
Department of Registration and Education to adopt specific 
criteria relating to the procedures for the revocation or 
suspension of approval of nursing schools or their placement 
on probationary status. 



LRB8108556BDJO 



A BILL FOR 



239 



LRB8108556BG jo 



AN ACT to amend Section 5 of "Tne Illinois \ursing Act", 
approved June l<». 1951. as amended. 



5 Section l. Section 5 of "Trie Illinois Nursing Act". 

b approved June L<m 1951. as amended, is amended to read as 

7 follows: 

(Cn. Ill, par. 3<.07) 

8 Sec. 5. Subject to the provisions of this Act. tne 

9 Department shall: 

10 1. PrescriDe rules defining what constitutes a school of 

11 professional nursing and what constitutes a school of 

12 practical nursing. 

13 2. Adopt rules providing for the estaol i shment and 
1<, maintenance of a uniform and reasonable standard of 

15 educational programs to be observed by all schools of 

16 professional nursing and all schools of practical nursing 

17 which are approved by the Department; and determine tne 

18 standing of such schools by reference to compliance with such 

19 rules; and provide for surveys of all such schools and tneir 

20 programs at such times as deemed necessary. 

21 3. Prepare and maintain a list of approved schools of 

22 professional nursing and schools of practical nursing in this 

23 State. whose graduates. if they have the other necessary 
2<. qualifications provided in this Act. shall be eligiole to 

25 apply for a license to practice nursing in this State. 

26 *». Establish and maintain a minimum standard of 

27 preliminary education subject to Section 8 and Section 9 to 

28 be required for admission to all schools of professional 

29 nursing and all schools of practical nursing and require 

30 satisfactory proof of the enforcement of such standards by 

31 such school s. 

32 5 . Adopt rules pr ovid ing proce d ures for tne revocatio n. 



240 



A 7 



-2- LRB8108556B0jo 

au^aeaa' Qn t or a\ demerit ■ on d orppatipnarv status pf approval 



of sch ools of P fQ fe5S'Qnd 

n ur s t nq ■ n j hi s Sta te. 

a school's approval o n a arobatio n 

safit-Llxeo — ae r L 



reypcatipm suspension 



urs'ng and schools <?f e r att't4i 




.O-UteisenjL — ai 



probationary status of approval of schools. Reasonable notice 
and o pp ortunity for a hearing snail oe provided to the scho ol 
an.or tp any action .upper this provision* The Cc"P"i'ttee shall 



Si 
which 



' partment of any situation 

determines may constitute, grounds far action unper 



6. 5» Prescribe rules for-a method of examination of 
candidates for registered professional nurses and licensed 
practical nurses and for issuance of certificates authorizing 
candidates upon passing an examination to practice as 
registered professional nurses and licensed practical nurses 
respect i vel y. 

JL*. 6» Conduct examinations to ascertain the 
qualifications and fitness of applicants for certificates as 
registered professional nurses and for certificates as 
licensed practical nurses* and pass upon the qualifications 
of applicants for licensure by endorsement. 

B_r_ ?« Conduct hearings on proceedings to revoke, suspend 
or refuse renewal of licenses or certificates of persons who 
are registered under this Act as registered professional 
nurses or licensed practical nurses 

2x a» Formulate rules required for tne administration of 
thi s Act. 



99 

100 

101 

102 

103 

104 

105 

106 

107 
108 
109 
110 
Hi 
1 12 

113 



A 7 



241 



ALTERNATIVE BILL EIGHT 



81st GENERAL ASSEMBLY 

State of Illinois 



INTRODUCED . 



1979 and 1980 
BY 



SYNOPSIS: (Ch. Ill, par. 3407) 

Amends the Nursing Act by providing for the 
suspension or revocation of approval of nursing schools at 
the sole discretion of the Director of Registration and 
Education. 



LRB8109379BDalc 



A BILL FOR 



243 



AN ACT to amend Section 5 of " 
approved June 1*, 1951» as amended. 



LRb8lC9379BJak 
fhe Illinois Nursing Act", 



fie-jJL_eadtisd_iii_iJ3e_p.eoul£_2f t&£ — s_ta_te__ 

represente d in the Genera l Assembl v: 



b Section 1. Section 5 of "The Illinois Nursing Act", 5b 

6 approved June !<,, 1951, as amended, is amended to read as 57 

7 follows: 58 

(Ch. m. par. 3<,07) 60 

8 Sec. 5. None of the functions, powers or duties 61 

9 enumerated in this Section shall be exercised oy the 62 

10 Department except upon the action and report in writing of a 63 

11 majority of all appointed members of the committee. 65 

12 Subject to the provisions of this Act* the Department 66 

13 shall r 67 
!«, l. Prescribe rules defining what constitutes a school of 68 

15 professional nursing and what constitutes a school of 69 

16 practical nursing. 70 

17 2. Adopt rules providing for the establishment and - 71 

18 maintenance of a uniform and reasonable standard of 72 

19 educational programs to be observed by all schools of 73 

20 professional nursing and all schools of practical nursing 7s, 

21 which ara approved by the Department; and determine the 

22 standing of such schools by reference to compliance with such 75 

23 rules; and provide for surveys of all such schools and their 76 
2<c programs at such times as deemed necessary. 78 

25 3. Prepare and maintain a list of approved schools of 79 

26 professional nursing and schools of practical nursing in this 80 

27 State. whose graduates, if they have the other necessary 81 
26 qualifications provided in this Act, shall be eligible to B2 

29 apply for a license to practice nursing in this State. B<* 

30 <i. Establish and maintain a minimum standard of 85 

31 preliminary eoucation subject to Section 8 and Section 9 to 86 

32 be required for admission to all schools of professional 87 



244 



A 8 



LKb6U9J79BJa> 



nursiny and all schools of practical nursing ana require 
satisfactory proof of the enforcement of such standards by 
such scnoo I s. 

1a ^oaaL-i:ul£S_ta— ui:ov'Qe ^cac.eoure^ for trie revocation^ 

suspe ns i o n o r pl acement on a protiat ■ onar y statu s of school; 

of arof essionol nursing ana schools of practical nursm., <n 

UDii itdifii Suc.h_a,c. t i an s 5fra' ! be_at tne.so'e a>5.<.ftftiqn gf. 

tti£_Djj:es:tQr_i iesj-Lfl " ^.g z_Qf the — U 1 ■ "pf s 4 aiM "> ^fatiye 

Pro cedure Atlj req uirin g tiie — statement — al — criteria. ox 



10 standards for discretionary actions, shall not apply to rules 

li adopte d u n<3 e r. t fr >s, prQY'5'pnt 

12 6* 5-» Prescribe rules for a method of examination of 

13 candidates for registered professional nurses and licensed 

14 practical nurses and for issuance of licenses authorizing 

15 candidates upon passing an examination to practice as 

16 registered professional nurses and licensed practical nurses 

17 respectively. 

18 I_» 6w Conduct examinations to ascertain the 

19 qualifications and fitness of applicants for licenses as 

20 registered professional nurses and for licenses as licensed 

21 practical nursest and pass upon the qualifications of 

22 applicants for licensure by endorsement. 

23 JL* ?■» Conduct hearings or proceedings to revoke, suspend 

24 or refuse renewal of licenses of persons who are licensed 

25 under this Act as registered professional nurses or licensed 

26 practical nurses and revoke, suspend or refuse to renew such 

27 licenses. 

2d 2* di Formulate rules required for the administration of 

29 this Act. 



96 

97 

98 

99 

100 

101 

102 

103 

104 

105 

106 

107 

ioa 

109 

no 
m 
li? 
113 



A8 



245 



ALTERNATIVE BILL NINE 



81st GENERAL ASSEMBLY 
State of Illinois 



INTRODUCED . 



1979 and 1980 
BY 



SYNOPSIS: (Ch. 120, par. 442) 

Amends the Retailers' Occupation Tax Ace by 
requiring that all returns and notices be filed under the 
penalties of perjury. 



LRB8108528BDjp 



A BILL FOR 



247 



LRB8L08528BOjp 



AN ACT to amend Section 3 of the "Retailers' Occupation 
Act", approved June 28. 1933. as amended. 



Be it enacted bv the People of the Stat e of Illinois. 
r e prg5 ?"t ed LP t "? C-e"<?ral Assembly: 



5 Section 1. Section 3 of the "Retailers' Occupation Tax 

h Act". approved June 28. 1933. as amended, is amended to reao 

7 as f ol 1 ows : 

(Ch. 120. par. W2 ) 

8 Sec. 3- Except as provided in this Section, on or 

9 before the last day of each calendar month, every person 

10 engaged in the business of selling tangible personal property 

11 at retail in this State during the preceding calendar month 

12 shall file a return with the Department, stating: 

13 1. The name of the seller; 

1* 2. His residence address and the address of his 

15 principal place of business and the address of the principal 

16 place of business (if that is a different address) from which 

17 he engages in the business of selling tangible persona) 

18 property at retail in this State; 

19 3. Total amount of receipts received by him during the 

20 preceding calendar month from sales of tangible personal 

21 property, and from services furnished, by him during Such 

22 preceding calendar month; 

23 *• Total amount received by him during the preceding 
2<t calendar month on charge and time sales of tangible persona) 

25 property, and from services furnished, by mm prior to tne 

26 month for which the return is filed; 

27 5. Deductions allowed by law; 

28 6. Gross receipts which were received by him during tne 

29 preceding calendar month and upon the basis of which the tax 

30 is imoosed; 

31 7. The amount of tax due; 

32 8. The amount of penalty due, if any. 



248 



A 9 



-2- 



LRB8108528B0jp 



1 9. Such other reasonable information as the Department 88 

2 tray require. 89 

3 Such re j urn ^nrj apy other nor..c,es required tO-.P.g f-'gO. 90 

* under this Act shaM contain^ o r he verified b_yj a. written 91 

5 declaration that it is made under tne penalties of perjury. 92 

6 If the retailer's average monthly tax liability to the 9<» 

7 Department does not exceed S100, the Department may autnorize 95 

8 his returns to be filed on a quarter annual basiSt with the 96 

9 return for January, February and March of a given year being 97 

10 due by April 30 of such year; with the return for April, May 98 

11 and June of a given year being due by July 31 of such year; 99 

12 with the return for July, August and September of a given 100 

13 year being due by October 31 of such year, and witn the 

1* return for October, November and December of a given year 101 

15 being due by January 31 of the following year. 103 

16 If the retailer's average monthly tax liability witn the 104 

17 Department does not exceed 120, the Department may autnorize 105 

18 his returns to be filed on an annual basis, with the return 106 

19 for a given year being due by January 31 of the following 107 

20 year. 108 

21 Such quarter annual and annual returns, as to form and 109 

22 substance, shall be subject to the same requirements as 110 

23 monthly returns. 1J.1 

24 Notwithstanding any other provision in this Act 112 

25 concerning the time within which a retailer may file his 113 

26 return, in the case of any retailer who ceases to engage in a 11*, 

27 kind of business which makes him responsible for filing 115 

28 returns under this Act, such retailer shall file a final lit 

29 return under this Act with the Department not more than one 

30 month after discontinuing such business. llf. 

31 Where the same person has more than one business lis 

32 registered with the Department under separate registrations 12C 

33 under this Act, such person may not file each return that is 12, 

34 due as a single return covering all such registered 12, 

35 businesses, but shall file separate returns for each such 12; 



A9 



249 



LRB8108528BDjp 



registered business. 

In addition, with respect to motor vehicles and aircraft, 
every retailer selling this kind of tangible personal 
prooerty shall file, with the Department, upon a form to be 
prescribed and supplied by the Department, a separate return 
for each such item of tangible personal property which the 
retailer sells, except that where, in the same transaction, a 
retailer of motor vehicles transfers more than one motor 
vehicle to another motor vehicle retailer for trie purpose of 
resale, such seller for resale may report the transfer of all 
motor vehicles involved in that transaction to the Department 
on the same uniform invoice-transaction reporting return 
form- 
Such transaction reporting return in the case of motor 
vehicles shall be the same document as the uniform Invoice 
referred to in Section 5-402 of The Illinois Vehicle Code and 
must show the name and address of the seller; the name and 
address of the purchaser; the amount of the selling price 
including the amount allowed by the retailer for traded-in 
property, if any; the amount allowed by the retailer for the 
traded-in tangible personal property, if any, to the extent 
to which Section 1 of this Act allows an exemption for the 
value of traded-in property; the balance payable after 
deducting such trade-in allowance from the total selling 
price; the amount of tax due from the retailer with respect 
to such transaction; the amount of tax collected from tne 
purchaser by the retailer on such transaction (or 
satisfactory evidence that such tax is not due in that 
particular instance, if that is claimed to be the fact.); tne 
place and date of the sale; a sufficient identification of 
the property sold; such other information as is required »n 
Section 5-402 of The Illinois Vehicle Code, and Such other 
information as the Department may reasonably require. 

Such transaction reporting return «n the case of aircraft 
must show the name and address of the seller; tne name ano 



124 
125 
126 
127 
128 
129 
130 
131 

132 
133 
13s 
135 
136 
137 
138 
139 
1*0 
1*1 

1*2 
1*3 

145 

146 
1*1 



150 
151 
153 
15* 

155 



250 



A 9 



LRB81085a3B0jp 



address of the purchaser: the amount of the selling price 156 

including the amount allowed by the retailer for traoefl-m 157 

property* if any; the amount allowed by the retailer for the 156 

traded-in tangible personal property* if any* to the extent 159 

to which Section 1 of this Act allows an exemption for the 160 
value of traded-in property; the balance payable after 

deducting such trade— in allowance from the total selling 161 

price; the amount of tax due from the retailer with respect 162 

to such transaction; the amount of tax collected from tne 163 

purchaser by the retailer on such transaction (or 16<t 
satisfactory evidence that such tax is not due in tiiat 

particular instance* if that is claimed to be the fact); the 165 

place and date of the sale, a sufficient identification of 166 

the property sold* and such other information as tne 167 

Department may reasonably require. 168 

Such transaction reporting return shall be filed not 169 

later than 30 days after the day of delivery of tne item that 170 

is being sold* but may be filed by the retailer at any time 171 

sooner than that if he chooses to do so. The transaction m 

reoorting return and tax remittance or proof of exemption 173 
from the Illinois use tax may be transmitted to tne 

Department by way of the State agency with which* or State 17<> 

officer with whom the tangible personal property must oe 175 

titled or registered (if titling or registration is required; 176 

if the Department and such agency or State officer determine 177 

that this procedure will expedite the processing of 178 

applications for title or registration. 179 

With each such transaction reporting return, the retailer 160 

shall remit the proper amount of tax due (or shall submit 181 

satisfactory evidence that the sale is not taxable if tnat is IBi 

the case)* to the Department or its agents* whereupon the 183 

Department shall issue* in the purchaser's name* a use tax IS*. 
receipt (or a certificate of exemption if the Department is 

satisfied that the particular sale is tax exempt) whicn such 165 

purchaser may submit to the agency with wmch. or State 166 



A9 



251 



-5- LRB8108528BDjp 

1 officer with whom, he must title or register the tangible 187 

2 personal property that is involved (if titling or 188 

3 reoistration is required) in support of such purchaser's 189 
t, application for an Illinois certificate or other evidence of 

5 title or registration to such tangible personal property. 191 

6 No retailer's failure or refusal to remit tax under th«s 192 

7 Act precludes a user* who has paid the proper tax to tne 193 

8 retailer* from obtaining his certificate of title or other 194 

9 evidence of title or registration (if titling or registration 195 

10 is required) upon satisfying the Department that such user 196 

11 has paid the proper tax (if tax is due) to the retailer. The 197 

12 Department shall adopt appropriate rules to carry out tne 198 

13 mandate of this paragraph. 199 
l<i If the user who would otherwise pay tax to the retailer 200 

15 wants the transaction reporting return filed and the payment 201 

16 of the tax or proof of exemption made to tne Department 202 

17 before the retailer is willing to take these actions and such 203 

18 user has not paid the tax to the retailer, such user may 204 

19 certify to the fact of such delay by the retailer and may 205 

20 (upon the Department being satisfied of the truth of such 

21 certification) transmit the information required by the 206 

22 transaction reporting return and the remittance for tax or 207 

23 proof of exemption directly to the Department and obtain his 208 
2<i tax receipt or exemption determination, in which event tne 209 

25 transaction reporting return and tax remittance (if a tax 210 

26 payment was required) shall be credited by the Department to 

27 the proper retailer's account with the Department. but 211 

28 without the 2X discount provided for in this Section being 212 

29 allowed. When the user pays the tax directly to the 21; 

30 Department. he shall pay the tax in the same amount and in 21s 

31 the same form in which it would be remitted if the tax had 215 

32 been remitted to the Department by the retailer. 2\.t 

33 Refunds made by the seller during the preceding return 211 

34 period to purchasers. on account of tangible personal 2 IE 

35 property returned to the seller. shall be allowed as a 21S 



252 



A9 



-6- 



LRB8lOB52880jp 



deduction under subdivision 5. in case the seller had 220 

theretofore included the receipts from the sale of such 221 
tangible personal property in a return filed Dy him and had 

paid the tax imposed by this Act with respect to such ZZZ 

receipts. 223 

Where the seller is a corporation, the return filed on 224 

behalf of such corporation shall be signed by the president* 225 

v i ce-president» secretary or treasurer or by the properly 226 

accredited agent of such corporation. 227 

Except as provided in this Section, the retailer filing 228 

the return under this Section shall, at the time of filing 229 

such return, pay to the Department the amount of tax imposed 230 

by this Act less a discount of 2% or S5 per calendar year. 231 

whichever is greater. which is allowed to reimburse the 232 

retailer for the expenses incurred in keeping records. 233 
preoaring and filing returns, remitting the tax and supplying 

data to the Department on request. In the case of retailers 234 

who report and pay the tax on a transaction by transaction 235 

basis. as provided in this Section, such discount shall be 236 

taken with each such tax remittance instead of when such 237 

retailer files his periodic return. 238 

If the taxpayer's average monthly tax liability to the 239 

Department under this Act. the "Use Tax Act". the "Service 240 

Occupation Tax Act". the "Service Use Tax Act". the 241 

"Municipal Retailers' Occupation Tax Act", the "Municipal 242 

Service Occupation Tax Act". the "County Retailers' 243 
Occupation Tax Act" and the "County Service Occupation Tax 

Act" was S25.000 or more during the preceding 4 complete 244 

calendar quarters or was MO. 000 or more if such 4 quarter 245 

period ended on or after March 31» 1977, he shall file a 246 

return with the Department each month by the end of tne month 247 
next following the month during which such tax liability is 

incurred and shall make payments to the Department on or 248 

before the 7th» 15th. 22nd and last day of the month during 249 

which such liability is incurred in an amount equal to 1/4 of 250 



253 



LRB8108528BDjp 



1 the taxpayer's actual liability for the month or an amount 251 

2 set by the Department not to exceed 1/4 of the average 252 

3 monthly liability of the taxpayer to the Department for tne 

4 preceding 4 complete calendar quarters (excluding the nontn 253 

5 of highest liability and the month of lowest liability »n 25a 

6 such 4 quarter period). The amount of such quarter monthly 255 

7 payments shall be credited against the final tax liability of 256 

8 the taxpayer's return for that month. Once applicable, tne 257 

9 requirement of the making of quarter monthly payments to tne 258 

10 Department shall continue until such taxpayer's average 

11 monthly liability to the Department during tne preceding 4 259 

12 complete calendar quarters (excluding the month of highest 260 

13 liability and the month of lowest liability) is less than 2ol 

14 i9,000» or until such taxpayer's average monthly liability to 262 

15 the Department as computed for each calendar quarter of the 4 263 

16 preceding complete calendar quarter period is less than 264 

17 $10»000. If any such quarter monthly payment is not paid at 

18 the time or in the amount required by this Section, then tne 265 

19 taxpayer's 2% vendors' discount shall be reduced by 2* of the 266 

20 difference between the minimum amount due as a payment and 267 

21 the amount of such quarter monthly payment actually and 268 

22 timely paid, except insofar as the taxpayer has previously 269 

23 made payments for that month to the Department in excess of 

24 the minimum payments previously due as provided in this 270 

25 Section. The Department shall make reasonable rules and 271 

26 regulations to govern the quarter monthly payment amount and 272 

27 quarter monthly payment dates for taxpayers who file on other 273 

28 than a calendar monthly basis. 274 

29 If any such payment or deposit provided for in this 275 

30 Section exceeds the taxpayer's present and probable future 2 76 

31 liabilities under this Act. the "Use Tax Act", the "Service 277 

32 Occupation Tax Act" and the "Service Use Tax Act". the 278 

33 Department shall issue to the taxpayer a credit memorandum no 279 

34 later than 30 days after the date of payment. wmch 

35 memorandum may be submitted by the taxpayer to the Department 280 



254 



A9 



LRB8108528B0jp 



in payment of tax liability subsequently to be remitted by 281 

the taxpayer to the Department or be assigned by the taxpayer 282 

to a similar taxpayer under this Act? the "Use Tax Act"t the 283 

"Service Occupation Tax Act" or the "Service Use Tax Act", to 28<» 

accordance with reasonable rules and regulations to be 285 

prescribed by the Department. 286 

Any deposit previously made by a taxpayer who is required 287 

to make quarter monthly payments under this amendatory Act of 288 

1976 shall be applied against the taxpayer's liability to the 289 

Department under tins Act. the "Use Tax Act", the "Service 290 

Occupation Tax Act" or the "Service Use Tax Act" for tne 291 

month preceding the first month in which the taxpayer is 292 

required to make such quarter monthly payments. If the 293 
deposit exceeds that liability, the Department shall issue 

the taxpayer a credit memorandum for the excess. 295 

Of the money received by the Department under tne 296 

provisions of this Act, after October 31, 1969. 3/4 thereof 297 

shall be paid into the State treasury, and 1/4 shall be 298 

reserved in a special account and used only for the transfer 299, 

to the Common School Fund as part of the monthly transfer 300 
from the General Revenue Fund in accordance with Section 8 

1/2 of "An Act in relation to State finance", approved June 301 

10, 1919, as amended. 303 

The Department may, upon separate written notice to a 304 

taxpayer, require the taxpayer to prepare and file with tne 305 

Department on a form prescribed by the Department within not 306 

less than 60 days after receipt of the notice an annual 307 
information return for the tax year specified in tne notice. 

Such annual return to the Department shall include a 308 

statement of gross receipts as shown by the retailer's last 309 

State income tax return. If the total receipts of the 310 

business as reported in the State income tax return do not 311 
agree with the gross receipts reported to the Department of 

Revenue for the same period, the retailer shall attach to his 312 

annual return a schedule snowing a reconciliation of the 2 313 



A9 



255 



LRB8108528BOJP 



amounts and the reasons for trie difference. The retailer's 31' 

annual return to the Department shall also disclose the cost 

of goods sold by the retailer during the year covered by such 315 

return, opening and closing inventories of such goods for 314 

such year, costs of goods used from stock or taken from stock 311 

and given away by the retailer during such year , payroll 31£ 

information of the retailer's business during such year ano 

any additional reasonable information which the Department 319 

deems would be helpful in determining the accuracy of the 320 

monthly. quarterly or annua) returns filed by such retailer 321 

as provided for in this Section. 322 

If the annual information return required by this Section 323 

is not filed when and as required the taxpayer shall oe 32*. 

liable for a penalty equal to 1/6 of IX of the tax due from 325 

such taxpayer under this Act during the period to be covered 326 

by the annual return for each month or fraction of a month 327 
until such return is filed as required. the penalty to De 

assessed and collected in the same manner as any other 328 

penalty provided for in this Act. 329 

The chief executive officer, proprietor, owner or highest 330 

ranking manager shall sign the annual return to certify the 331 

accuracy of the information contained therein. Any person 332 

who willfully signs the annual return containing false or 333 
inaccurate information shall be guilty of perjury and 

punished accordingly- The annual return form prescribed Dy 33<» 

the Department shall include a warning that the person 335 

signing the return may be liable for perjur.y. 336 

The provisions of this Section concerning the filing of 337 

an annual information return do not apply to a retailer wno 338 

is not required to file an income tax return with the united 339 

States Government. 3*0 I 

As soon as possible after the first day of each month j<.l 

beginning January 1, 1980. upon certification of the 3<.2 

Department of Revenue. the Comptroller shall order 3*3 
transferred and the Treasurer shall transfer from the General 



256 



A 9 



■10- L«B8108528BOjp 



Revenue Fund 

( i ) to the Road Fund an amount equal to 34 and 
(ii) to the Motor Fuel Tax Fund an amount equal to 2.5X 
of the net revenue realized under this Act for the second 
preceding month. Net revenue realized for a month shall oe 
the revenue collected by the State pursuant to this Act. less 
the amount paid out during that month as refunds to taxpayers 
for overpayment of liability. 

For greater simplicity of administration, manufacturers! 
importers and 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 this Act with respect to 
such sales. if the retailers who are affected do not make 
written objection to the Department to this arrangement. 

Any person engaged in the business of selling tangible 
personal property at retail as a concessionaire or other type 
of seller at the Illinois State Fair, county fairs, art 
shows, flea markets and similar exhibitions or events, nay be 
reauired to make a daily report of the amount of such sales 
to the Department and to make a daily payment of the full 
amount of tax due. The Department shall impose this 
requirement when it finds that there is a significant risk of 
loss of revenue to the State at such an exhibition or event. 
Such a finding shall be based on evidence that a substantial 
number of concessionaires or other sellers who are not 
residents of Illinois will be engaging in the business of 
selling tangible personal property at retail at the 
exhibition or event, or other evidence of a significant risk 
of loss of revenue to the State. The Department shall notify 
concessionaires and other sellers affected by the imposition 
of this requirement. In the absence of notification by tne 
Department. the concessionaires and other sellers shall file 
their returns as otherwise required in this Section. 



3'.<t 
3^6 
3*7 
346 
349 
350 

J52 

353 

35* 

355 
356 
357 
358 
359 
360 
361 
362 
363 



366 

367 

368 
3b9 

370 
371 
3 72 
373 



A9 



257 



ALTERNATIVE BILL TEN 



8lst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
INTRODUCED BY 



SYNOPSIS: (Ch. 120, par. 442) 

Amends the Retailers* Occupation Tax Act by 
prohibiting the Department of Revenue from requiring returns 
to be filed under penalties of perjury. 

LRB8109380BDak 



A BILL FOR 



259 



LRB8109380Buak 



AN ACT to amend Section 3 of 
Acft approved June 28, 1933< 



"Retailers' Occupation 



amended. 



iliacj.ed. by the People of the State of 11 



Lgoreaentafl tQ- 



b Section 1. Section 3 of the "Retailers' Occupation Tax 

6 Act", approved June 28, 1933, as amended, is amended to read 

7 as follows: 

(Ch. 120, par. <.42) 

8 Sec. 3. Except as provided in this Section, on or 

9 before the last day of each calendar month, every person 

10 engaged in the business of selling tangible personal property 

11 at retail in this State during the preceding calendar month 

12 shall file a return with the Department, stating: 

13 1. The name of the seller; 

l<» 2. His residence address and the address of his 

15 principal place of business and the address of the principal 

lb place of business (if that is a different address) from which 

17 he engages in the business of selling tangible personal 

18 property at retail in this State; 

19 3. Total amount of receipts received by him during the 

20 preceding calendar month from sales of tangible personal 

21 property* and from services furnished, by tiia during such 
ZZ preceding calendar month; 

23 *. Total amount received by him during the preceding 

Z<t calendar month on charge and time sales of tangible personal 

25 property, and from services furnished, by hira prior to tne 

2o month for which the return is filed; 

27 5. Oeductions allowed by law; 

id b. Cross receipts which were received by him during the 

29 preceding calendar month and upon the basis of which the tax 

30 i s imposed; 

31 7. Tne amount of tax due; 

32 8. Tne amount of penalty due, if any; 



260 



A10 



-2- 



LRbdL093a080ak 



1 9. Such other reasonable information as the Department 

2 may require. 

3 Th,e Qepartme nt may not requir e s uch return n or other 

4 n otices required to o e filed under this Act to contain. nor 

5 t o be verifie d fcxJ a written declaration that it is maae 

o u noer t he p enal tigs of per |Uf y. 

7 If the retailer's average monthly tax liability to the 

a Department does not exceed MOO. the Department may authorize 
his returns to be filed on a quarter annual basis* with the 
return for January. February and March of a given year being 
due by April 30 of such year; with the return for April, Hay 
and June of a given year being due by July 31 of such year; 
with the return for July* August and September of a given 
year being due by October 31 of such year, and with the 
return for October* November and December of a given year 
being due by January 31 of the following year. 

If the retailer's average monthly tax liability witn the 
Department does not exceed S2Q. the Department may authorize 
his returns to be filed on an annual basis, with the return 
for a given year being due by January 31 of the following 
year. 

Such quarter annual and annual returns, as to form and 
substance, shall be subject to the same requirements as 
monthly returns. 

Notwithstanding any other provision in this Act 
concerning the time within which a retailer may file his 
return, in the case of any retailer who ceases to engage in a 
kino of business which makes him responsible for filing 
returns under thii Act, such retailer shall file a final 
id return under this Act witn the Department not more tnan one 

31 month after discontinuing such business. 

32 where the same person has more than one business 

33 registered with the Department under separate registrations 

34 under this Act, such person may not file each return that is 
33 due as a single return covering all such registered 



9 
10 
11 
12 
13 
I*. 
15 
16 

18 
19 
20 
21 
22 
23 
2* 
25 
26 
27 
20 
29 



96 

99 

100 

101 

102 

103 
105 
106 
107 
106 
109 
110 
111 
112 
113 
114 
115 
116 
117 

lie 

120 
121 
122 
123 
12-, 



A10 



261 



-3- 



LRB810<»J80BJak 



businesses, but shall file separate returns for each such 
registered business. 

In addition, with respect to motor venicles and aircraft, 
every retailer selling this kind of tangible personal 
property shall file, with the Department, upon a form to oe 
prescribed and supplied by the Department, a separate return 
for each such item of tangible personal property wnich the 
retailer sells, except that where, in the same transaction, a 
retailer of motor vehicles transfers more than one motor 
vehicle to another motor vehicle retailer for the purpose of 
resale, such seller for resale may report tne transfer of all 
motor vehicles involved in that transaction to the Department 
on the same uniform invoice-transaction reporting return 
form. 

Such transaction reporting return in the case of motor 
vehicles shal i be the same document as the Uniform Invoice 
referred to in Section 5-*02 of The Illinois Vehicle Code and 
must show the name and address of the seller; the name and 
address of the purchaser; the amount of the selling price 
including the amount allowed by the retailer for traded-in 
property, if any; the amount allowed by the retailer for the 
traded-in tangible personal property, if any, to the extent 
to which Section I of this Act allows an exemption for the 
value of traded-in property* the balance payable after 
deducting such trade-in allowance from the total selling 
price; the amount of tax due from the retailer with respect 
to such transaction; the amount of tax collected from tne 
purchaser by the retailer on such transaction (or 
satisfactory evidence that such tax is not due in that 
particular instance, if that is claimed to be the fact); the 
place and date of the sale; a sufficient identification of 
the property sold; such other information as is required in 
Section 5— *02 of The Illinois Vehicle Code, and such other 
information as the Department may reasonably require. 

Such transaction reporting return in the case of aircraft 



125 

126 
127 
126 
129 
130 
131 
132 
133 

13* 
135 
136 
137 

138 
139 
1*0 
1*1 
1*2 
1*3 



1*5 
l*fe 

1*7 

1*8 
1*9 
150 
151 

152 
153 
155 
15c 



2(V2 



A10 



-4- LRB81093aOBuak 

1 most show trie name and address of the seller; the name and 157 

2 address of the purchaser; the amount of the selling price 158 

3 including the amount allowed Oy the retailer for tradeo-in 159 
<» property? if any; the amount allowed Oy the retailer for the 160 

5 traoed-in tangible personal property* if anyt to the extent Itol 

6 to which Section 1 of this Act allows an exemption for the 162 

7 value of traded-in property; the balance payaole after 

8 deducting such trade-in allowance from the total selling 163 

9 price; the amount of tax due from the retailer with respect 164 

10 to such transaction; the amount of tax collected from the 165 

11 purchaser by the retailer on such transaction (or 166 

12 satisfactory evidence that such tax is not flue in that 

13 particular instance, if that is claimed to be the fact); tne 167 

14 place and date of the sale* a sufficient identification of 168 

15 the property sold* and such other information as the 169 

16 Department may reasonably require. 170 

17 Such transaction reporting return shall be filed not 171 
IB later than 30 days after the day of delivery of the item that 172 

19 is being sold* but may be filed by the retailer at any time 173 

20 sooner than that if he chooses to do so. The transaction 174 

21 reporting return ana tax remittance or proof of exemption 175 

22 from the Illinois use tax may be transmitted to tne 

23 Department by way of the State agency with which* or State 176 

24 officer with whom the tangible personal property must be 177 

25 titled or registered (if titling or registration is required) 178 

26 if the Department and such agency or State officer determine 179 

27 tnat this procedure will expedite the processing of 180 

28 applications for title or registration. 181 

29 hith each such transaction reporting return* the retailer 162 

30 shall remit the proper amount of tax oue (or shall Submit 183 

31 satisfactory evidence that the sale is not taxaole if tnat is 184 

32 tne case)* to the Department or its agents* whereupon tne 185 

33 Department shall issue* in the purchaser's name* a use tax 186 
3«» receipt (or a certificate of exemption if tne Department is 

35 satisfied that the particular sale is tax exempt) which such 187 



A10 



263 



-5- 



LR&8109i606Dai. 



purchaser nay submit to trie agency Kith much. or State IStS 

officer with whom, he must title or register the tangible 189 

personal property that is involved (if titling or 190 

registration is required) in support of such purcnaser's 191 
application for an Illinois certificate or other evidence of 

title or registration to such tangible personal property. 193 

No retailer's failure or refusal to remit tax under this 19S 

Act precludes a user* who has paid the proper tax to tne 195 

retailer, from obtaining his certificate of title or other 196 

evidence of title or registration (if titling or registration 197 

is required) upon satisfying the Department that such user 198 

has paid the proper tax (if tax is due) to the retailer. The 199 

Department shall adopt appropriate rules to carry out the 200 

mandate of this paragraph. 20L 

If the user who would otherwise pay tax to tne retailer 202 

wants the transaction reporting return filed and the payment 203 

of the tax or proof of exemption made to the Department 20* 

before the retailer is willing to take these actions and such 205 

user has not paid the tax to tne retailer ■ such user may 206 

certify to the fact of such delay by tne retailer and may 207 
(upon the Department being satisfied of the truth of Such 

certification) transmit the information required by the 20S 

transaction reporting return and the remittance for tax or 209 

proof of exemption directly to the Department ana obtain his 210 

tax receipt or exemption determi nation, in which event the 211 

transaction reporting return and tax remittance (if a tax 212 
payment was required) shall be credited by the Department to 

tne proper retailer's account with tne Department, out 213 

witnout the ZX discount provided for in this Section oaini, 21«, 

allowed. when tne user pays the tax directly to tne 215 

Department, he shall pay tne tax in the same amount and in 216 

tne same form in which it would be remitted if the tax nac 217 

been remitted to the Department by the retailer. 216 

Refunds made ay the seller ouring th« preceding return 219 

period to purchasers, on account of tangiole personal 220 



264 



A10 



LRBB1093u0buaK 



property returned to trie seller. shall be allowed as a 
deduction under subdivision 5, in case the seller had 
theretofore included the receipts from the sale of such 
tangible personal property in a return filed by him and had 
paid the tax i.nposeo Oy this Act with respect to such 
recei pts. 

where tne seller is a corporation, the return filed on 
behalf of such corporation shall be signed by the president* 
vice-president, secretary or treasurer or by the properly 
accredited agent of such corporation. 

Except as provided in this Section, the retailer filing 
tne return under this Section shall, at the time of filing 
such return, pay to the Department the amount of tax imposed 
by this Act less a discount of 2% or S5 per calendar year, 
whichever is greater, which is allowed to reimburse the 
retailer for the expenses incurred in keeping records, 
preparing and filing returns, remitting the tax and supplying 
data 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 be 
taken with each such tax remittance instead of when such 
retailer files his periodic return. 

If the taxpayer's average monthly tax liability to the 
Department under this Act, th« "Use Tax Act"» the "Service 
Occupation Tax Act", the "Service Use Tax Act", tne 
"Municipal Retailers* Occupation Tax Act", the "Municipal 
Service Occupation Tax Act", the "County Retailers' 
Occupation Tax Act" and the "County Service Occupation Tax 
Act" was 125,000 or more during the preceding <, 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 during which such tax liability is 
incurred and shall make payments to the Department on or 
before the 7th, I5tn, 22nd and last day of the month durinj 



221 
222 

Hi 

225 

226 

227 

22a 

230 

23i 
232 

233 
Zl<- 

23's 

236 

237 
2 33 
2 3« 
2^0 
2*1 
242 
2*3 
24* 
2*5 

2*fc 
2*7 

Z<*9 

250 

2?i 



A10 



26 j 



-7- 



LRB81093B0B03K 



which such I iaDi li ty is incurred in an amount equal to l/<t of 
the taxpayer's actual liability for the raontn or an amount 
set Dy tne Department not to exceed 1/4 of the average 
monthly liability of the taxpayer to the Department for the 
preceoing <* complete calendar quarters (excluding the month 
of highest liaDility and the month of lowest liaoility in 
such h quarter period). The amount of such quarter monthly 
payments shall be credited against the final tax liability of 
the taxpayer's return for that month. Once applicable* the 
requirement of the making of quarter monthly payments to the 
Department shall continue until such taxpayer's average 
monthly liability to the Department during the preceding 4 
complete calendar quarters (excluding the montn of highest 
liability and the month of lowest liability) is less than 
&9.000? or until such taxpayer's average monthly liability to 
the Department as computed for each calendar quarter of the 4 
preceding complete calendar quarter period is less than 
iiOiOOO. If any such quarter monthly payment is not paid at 
the time or in the amount required by this Section* then tne 
taxpayer's 2.% vendors' discount shall be reduced by ZX of the 
difference between the minimum amount due as a payment and 
the amount of such quarter monthly payment actually and 
timely paid* except insofar as the taxpayer has previously 
made payments for that month to -the Department in excess of 
the minimum payments previously due as provided in this 
Section. The Department shall make reasonable rules and 
regulations to govern the quarter monthly payment amount and 
quarter monthly payment dates for taxpayers who file on other 
than a calendar monthly basis. 

If any such payment or oeposit provided for in this 
Section exceeds the taxpayer's present and probable future 
liabilities under this Actt the "Use Tax Act", the "Service 
Occupation Tax Act" and the "Service Use Tax Act". tne 
Department shall issue to the taxpayer a credit memorandum no 
later tnan 30 days after the date of payment. which 



252 
252 
254 

255 
2 56 
251 
2 58 
259 
260 

26 i 
2 62 
263 

2 64 
265 

2ofe 

267 
26B 
269 
2'0 
271 

272 
273 

2 74 
275 
2 76 
277 
.76 
2 79 
230 
2oi 



266 



A10 



LKBB1093eOBDdK 



1 memorandum may be submitted by the taxpayer to trie Department 

2 in payment of tax liability subsequently to be remitted by 

3 trie taxpayer to the Department or be assigned by the taxpayer 

4 to a similar taxpayer under this Act, the "Use Tax Act", the 

5 "Service Occupation Tax Act" or the "Service Use Tax Act", in 
o accordance with reasonable rules and regulations to be 

7 prescribed Dy the Department. 

8 Any deposit previously made by a taxpayer who is required 

9 to make quarter monthly payments under this amendatory Act of 

10 1976 shall be applied against the taxpayer's liability to the 

11 Department under this Act» tne "Use Tax Act", the "Service 

12 Occupation Tax Act" or the "Service Use Tax Act" for the 

13 month preceding the first month in which the taxpayer is 

14 required to make such quarter monthly payments* If the 

15 deposit exceeds that liability* the Department shall issue 

16 the taxpayer a credit memorandum for the excess. 

17 Of the money received by the Department under the 

18 provisions of this Act. after October 31, 1969, 3/4 thereof 

19 snail be paid into the State treasury, and 1/4 shall be 

20 reserved in a special account and used only for the transfer 

21 to the Common School Fund as part of the monthly transfer 

22 from the General Revenue Fund in accordance with Section S 

23 1/2 of "An Act in relation to State finance", approved June 

24 10, 1919, as amended. 

25 The Department may, upon separate written notice to a 

26 taxpayer, require the taxpayer to prepare and file with the 

27 Department on a form prescribed by the Department within not 

28 less than 60 days after receipt of the notice an annual 

29 information return for tne tax year specified in the notice. 

30 Such annual return to the Department shall include a 

31 statement of gross receipts as shown by tne retailer's last 

32 State income tax return. If the total receipts of the 

33 business as reported in the State income tax return do not 

34 ajree with the gross receipts reported to the Department of 

35 Revenue for the same period, the retailer shall attach to his 



282 

283 
284 

285 
2«c 
287 

26H 
259 
2 93 
291 
292 
293 
2 94 
295 

297 

298 
299 

300 
301 
302 

303 
3.05 
306 
307 
308 
309 
310 



312 
313 
314 
315 



A10 



267 



LrtS81093e 



»Da« 



,ooas sol 



?turn a scnedule showing a reconciliation of tne 2 
id tne reasons for tne difference. The retailer's 
Hum to tne Department snail also disclose the cost 
the retailer during the year covered oy such 
return, opening ana closing inventories of such _,ooos for 
sucn year, costs of 9000s useo from stock or taxen from stock 
ano ^jiven away by tne retailer during such year, payroll 
information of the retailer's business during sucn year ano 
any additional reasonable information which the Department 
deems would oe helpful in determining the accuracy of the 
monthly, quarterly or annua) returns filed Oy sucn retailer 
as provided for in this Section. 

If the annual information return required by tni s Section 
•s not filed when ano as required the taxpayer shall oe 
liable for a penalty equal to 1/6 of IX of the tax due from 
such taxpayer under this Act during the period to be covered 
oy tne annual return for each month or fraction of a month 
until sucn return is filed as required. the penalty to oe 
assessed ano collected in the same manner as any other 
penalty provided for in this Act. 

The chief executive officer, proprietor. Owner or nignest 
ranking manager shall sign the annual return to certify tne 
accuracy of the information contained therein. Any person 
who willfully signs tne annua) return containing false or 
inaccurate information snail oe gui ) ty of perjury ano 
pumsned accordingly. The annual return form prescribed by 
tne Department shall include a warning that the person 
signing the return may oe liable for perjury. 

Trie provisions of tni s Section concerning the filing of 
an annual information return do not apply to a retailer wno 
is not required to file an income tax return wi tn the united 
States uovernment. 

As soon as possible after the first day of each month 
beginning January 1. 1980, upon certification of tne 
Department of Revenue, the Comptroller shall order 



317 

3io 
319 



323 
3*4 

iZb 
326 
327 

32a 

329 

330 
331 

333 
hi<< 
3J5 

iit> 
337 

Mo 
33s 



3*2 

if 5 
3t4 

3-.S 
346 

3*7 
3*6 



268 



A10 



10- 



LR68l09_,6Caual' 



1 transferred ana the Treasurer shall transfer from tne General 3^9 

2 Revenue Fund 350 

3 ( i ) to trie Road Fund an amount equal to iX and 352 
t, ( i i ) to the Motor Fuel Tax Fund an amount equal to 2.3}. 353 
•> of the net revenue realized under this Act for the second 35*. 
o preceding month- Net revenue realized for a month shall oe 355 
7 tne revenue collected Dy the State pursuant to this Act. less 356 
d tne amount paid out during that month as refunds to taxpayers 357 
9 for overpayment of liability* 358 

10 For greater simplicity of administration, manufacturer s , 359 

11 importers and wholesalers whose products are sold at retail 360 

12 in Illinois by numerous retailers, and who wish to do so. may 3ol 

13 assume the responsibility for accounting ano paying to the 362 
1* Department all tax accruing under this Act with respect to 363 

15 such sales, if tne retailers who are affected do not make 36V 

16 written objection to the Department to this arrangement. 365 

17 Any person engaged in the business of selling tangible 366 
Id personal property at retail as a concessionaire or other type 367 
19 of seller at the Illinois State fair, county fairs, art 368 
Z0 shows, flea markets and similar exhibitions or events, may oe 369 
21 required to make a daily report of the amount of such sales 370 
ZZ to tne Department and to make a daily payment of the full 371 
23 amount of tax due. The Department shall impose this 372 
2* requirement when it finds that there is a significant risk of 

25 loss of revenue to the State at such an exnibition or event. 373 

26 Such a finding shall be based on evidence that a substantial 37*. 

27 number of concessionaires or otner sellers who are not 375 

28 residents of Illinois will be engaging in the business of 376 

29 selling tanyiole personal property at retail at the 377 

30 exhibition or event, or other evidence of a significant risk 

31 of loss of revenue to tne State. The Department snail notify 37u 

32 concessionaires ana otner sellers affected by the imposition 379 

33 of this requirement. In the absence of notification Oy tne 380 
3* Department, the concessionaires and other sellers shall file 381 
35 their returns as otherwise required in this Section. 



A10 



2(><> 



ALTERNATIVE BILL ELEVEN 



81st GENERAL ASSEMBLY 

State of Illinois 

1979 and 1980 
INTRODUCED BY 



(Ch. 95 1/2, pars. 18a-101, 18a-200 and 18a-300) 



Amends "The Illinois Vehicle Code" by providing 
for the establishment of storage fees for vehicle relocators 
by the Illinois Commerce Commission based on typical business 
expenses in the relocator's area and prohibits the I.C.C. 
from imposing a uniform accounting system. 



LRB8108698FGn 



A BILL FOR 



271 



LRS8108698FGma 



AN ACT to amend Sectic 
■Tne Illinois Vehicle Code" 
■mended* 



> lBa-101, 18a-200 ana 18a-300 of 
approved September 29, 1969, as 



fie Lt enacted.. 



tin e People o f 
ts sentbl y: 



Section 1. Sections 18a-10l, 18a-200 and 16a-300 of "The 57 
Illinois Vehicle Code", approved September 29, 1969, as 5d 
amended, are amended to read as follows: 59 

(Ch. 95 1/2, par. lBa-101) 61 

Sec. 18a-101. Declaration of policy and delegation of 62 
jurisdiction. It is hereby declared to be the policy of the 63 
State of Illinois to supervise and regulate the commercial 6<» 
removal of trespassing vehicles from private property, and 65 

the subsequent relocation and storage of such vehicles^ !Dj_s. 66 

d eclaration qf pol icy i s base d on the finding av the General 
A ssem b ly that t h ere is uncertainty regarding the rights of 6 7 
t he parties involved and that vehicle relocators may have 

t h arged unreasonanle fe .es . This supervisio n a nd regulatio n 

is intended Tn--soeh-manner-as to fairly distribute rights ano 
responsibilities among the parties involved including vehicle 
owners, private property owners and commercial vehicle 

relocators and to establish reason able rat e s for iuitj 

service. To accompl i s fiT-anfl-f or this purpose the power ana 
authority to administer and to enforce the provisions of this 
Chapter shall be vested in the Illinois Commerce Commission. 

(Ch. 95 1/2, par. 18a-200) 

Sec. 18a-200. General powers and duties of Commission. 79 
The Commission shall: 81 

11) Regulate commercial vehicle relocators ana their 62 
employees in accordance with this Chapter, ana to that end 83 
may establisn reasonable requirements with respect to proper a*, 
service, and practices relating thereto. 8o 

(2) Aoopt reosanaole ana proper rules covering tne 87 



75 
7B I 



272 



All 



LH38 1 08698FCma 



• xei 



of powers conf 
reasonable rules gov 
proceedings unoe 



efl upon it by this Chapter , and 68 

ing investigations. hearings ana 89 

s Chapter. 90 

(3) 5tt-feaionJBte-fet«5T-«ot-te — exeeeo — *35 T — lor — t«f 91 
commere-ra+--t©w-rng — or- -fe««va->— e-f-t fe^pas si-fig- veh-re+cs-f ro» 92 
prTTDtt-sfsperty. — Hw-coiwiitiiten — may — a+i8— set — fedionao+e 93 
rate) Set maxim um fees for the storage, for periods in excess 9<t 
of 72 hours. of tresp assing ve hicl es towed or re move d from 

private property >f 't fm ds lha_£ such maxi mum fees are 95 

necessar y % o protect vehicle owners from unreasonable or 96 

excessive Charges, -aoen — veh»e4es — tn — eenoeetton— «tth — ioeh 97 

tenTng-of-feiwya+t However, no relocator shall impose charges 98 

for such storage for the first 72 hours after towing or 99 

removal. Su ch mj nifflug f g^s shall be. ba sed on information 100 

t&gamiaa ty pical business expe n ses inv olved in such s torage 

in the geographic al area of the St at e in whicfi the relocator 101 

ii ooerat i ng . Tne Comm iss ion may not impos e uniform '. 02 

s ettin g sucn max imum fees. 1 04 

(4) Investigate and maintain current files of the 105 
criminal records. if any, of all relocators and their 106 
employees, and of all applicants for relocator's licenses and 107 
operator's licenses. 108 

(5) Issue relocator's licenses and operator's licenses 109 
in accordance with Article IV of this Chapter. Ill 

(6) The Commission, upon verified complaint in writing 112 
by any person, organization or body politic, shall, or upon 113 
its own initiative may, investigate whether any commercial ll<t 
vehicle relocator, operator or person otherwise required to 115 
comply with any provision of this Chapter or any rule 116 
promulgated hereunder, has failed to comply with any sucn 117 
provision or rule. If the Commission, after notice and 
nearing, finds that any commercial vehicle relocator, 1 1 u 
operator or other person required to so comply has faileo to 119 
comply witn any such provision or rule, the Commission snail 120 



All 



2 7 3 



-3- 



LAB810e698f Gma 



issue an appropriate order to compel compliance therewitn. 
Tne Commission snail also provide by rule for tne suspension 
or revocation of licenses of relocators or operators who are 
found to nave committed suDstantial or repeated violations of 
tnis Cnapter or an^ rules promulgated hereunder, ano snail 
suspend or revoke licenses pursuant to such rule. 

(Ch. 95 1/2, par. 18a-300) 

Sec. lBa-300. Commercial vehicle relocators - Unlawful 
practices. It shall be unlawful for any commercial vehicle 
r el ocator : 

(1J to operate in any county in which this Chapter is 
applicable without first obtaining from the Coironssion a 
license to operate as provided in Article IV of tnis Chapter; 

(2) to employ as an operator, or otnerwise so use tne 
services of, any person who does not have at tne commencement 
of employment or service, or at any time during the course of 
employment or service, an operator's license issued in 
accordance with Sections 16a-^03 or 16a-<«05 of this Chapter; 
or to fail to notify the Commission, in writing, of any known 
criminal conviction of any employee occurring at any time 
before or during course of employment or service. 

(3) to operate upon the highways of this State any 
vehicle used in connection with any commercial vehicle 
relocation service unless: 

(a) there is painted or firmly affixed to such vehicle 
on Doth sides thereof in a color or colors vividly 
contrasting to the color of the vehicle the name, address and 
telephone numoer of tne operator thereof. The Commission 
snail prescribe reasonable rules anc regulations pertaining 
to insignia to oe painted or firmly affixed to vehicles ano 
shall waive tne requirements of the aodress on any sucn 
vehicle in cases where the operator of a vehicle nas painted 
or otherwise firmly affixed to the vehicle a seal or trade 
mark which clearly identifies tne operator of the venicle; 



12; 

12: 

12< 

12t 
L2f 

12< 
13< 

13) 
13, 
13. 
13' 
13( 
13 
131 



1<.I 
l«.l 



274 



All 



LRB8 l08698F6ma 



1 (b) there is carried in the power unit of such vehicle a 157 

2 certified copy of the currently effective license. Copies 156 

3 may be photographed • photocopied, or reproduced or printed by 159 

4 any other legible and durable process* Any person guilty of 160 

5 not causing to be displayed a copy of his license may in any 161 

6 hearing concerning such violation be excused from the payment lo2 

7 of the penalty hereinafter provided upon a showing that such 

8 license was issued by the Commission, but was subsequently 163 

9 lost or destroyed. 165 

10 (<t) to advertise in any newspaper, book, list, 166 

11 classified directory or other publication unless there is 167 

12 contained in such advertisement the license number of such 168 

13 relocator. 169 

14 (5) to remove any vehicle from private property without 17C 

15 having first obtained the written authorization of the 171 

16 property owner or other person in lawful possession or 17i 

17 control of the property, his authorized agent, or an 17; 

18 authorized law enforcement officer. Such authorization may 

19 be on a contractual basis covering a period of time or 17* 

20 limited to a specific removal. 17- 

21 (6) to charge tne private property owner, who requested l7f 

22 that an unauthorized venicle be removed from his property, 171 

23 with the costs of removing such vehicle contrary to any terms 174 
2<» which may be a part of the contract between the property 17' 

25 owner and the commercial relocator. ldC 

26 (7) to remove a vehicle when the owner or operator of 181 

27 sucn vehicle is present or arrives at the vehicle location at Idi 
23 any time prior to the completion of removal, and is willing 162 

29 and able to remove the venicle immediately. 18' 

30 (8) to remove any vehicle from property on whicn signs ldi 

31 are required and on which there are not posted appropriate ldt 

32 signs pursuant to Section 18a-302. 18". 

33 (9) to fail to notify law enforcement authorities in tne 13* 
3t jurisdiction in wnicn tne trespassing vehicle was removed 13' 
3b within one hour of sucn removal. Notification snail include 19C 



All 



275 



Lfte810B69Sf : oma 



a complete description of the vehicle. registration numbers 191 

if possible* the locations from which and to wnich the 192 

vehicle was removed* the time of removal* and any other 193 

information required Dy regulation* statute or ordinance* 19«i 

(10) to impose any Charge for t he towmg or removal of 195 

t respas s ing v ehicle s in e x cess of *35* or to i mpose any 196 

fctuacflfi .. f Of >ef»t«-9f storage in eyceas, pf any maximum f e es. 197 

8thef-tt\an-Tn-fleeerBtmee-iiTth-tfte-retes set by the Commission 198 

cimuant to. Section lte=2M- 199 

(11) to fail* in the office or location at which 200 
relocated vehicles are routinely returned to their owners* to 201 
prominently post the name* address and telephone number of 202 
the nearest office of the Commission to which inquiries or 203 
complaints may oe sent* and to make available in written 20* 
form* the relevant statutes* regulations and ordinances 205 
governing commercial venicle relocators. 206 

J.1Z1 +**t to remove any vehicle* otherwise in accordance 207 

with this Act. more than 10 miles f r on its location when 208 
towed. 



276 



All 



ALTERNATIVE BILL TWELVE 



8lst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
BY 



(Ch. 95 1/2, pars. 18a-101 r 18a-200 and 



Amends "The Illinois Vehicle Code" by allowing 
the Commerce Commission to impose a uniform system of 
accounts on commercial relocators of trespassing vehicles and 
clarifies the purpose of commercial relocation regulations. 



LRB8109422FGak 



Fiscal m M 
maj tie applicable 



A BILL FOR 



277 



L«B8 109<t22Ft,ak \ 

i AN ACT to amend Sections 18a-101» 18a-200» and 18a— 300 of *9 

2 "The Illinois Vehicle Code", approweo September 29, 1969, as 50 

3 amended. 52 



Section 1. Sections laa-lOi., 182-200, and 18a-300 of 
"The Illinois vehicle Code", approved September 29, 1969, as 
amended* are attended to read as follows: 

(Ch. 95 1/2, par. laa-101) 

Sec. 18a— 101. Declaration of policy and delegation of 
jurisdiction. It is hereby declared to be the policy of the 
State of Illinois to supervise and regulate the commercial 
removal of trespassing vehicles from private property, and 
the subsequent relocation and storage of such vehicles . This 
declaration of policy is based on the findings bv the General 
Assembly that there is uncertainty regarding — ins — rights of 

ItlS Parties I rival vefl aOd that vehicle relocators may t,av» 

charged unreasonable fees, inis. supervision. — ajoa — regulation 

is intended Tn-joeh-nannef-as to fairly distribute rights and 
responsibilities among the oarttfiS involved including vehicle 
owners, private property owners and commercial vehicle 

reiocatorsT arm to establish reasonable caxejs — for such 

services. To accomplish and-tw this purpose the power and 
authority to administer and to enforce the provisions of this 
Chapter shall oe vested in the Illinois Commerce Commission. 

(Ch. 95 1/2, par. 18a-200) 

Sec. lBa-200. General powers and duties of Commission. 
The Commission shall: 

(1) Regulate commercial vehicle relocators and their 
employees in accordance with this Chapter, and to that end 
may establish reasonable requirements with respect to proper 
service, and practices relating thereto. 

(2) Aaopt reasonable and proper rules covering the 



278 



A12 



-2- L«bftl09«»22F ( ;ak 

1 exercise of powers conferred upon it by this Chapter, and 89 

2 reasonaole rules governing investigations? hearings and 90 

3 proceedings under this Chapter. 91 
h (3) Set reasonaole rates* not to exceed *3S, for the 92 

5 comercial towing or removal of trespassing vehicles from 93 

6 private property. The Commission may also set reasonable 9* 

7 rates for the storage* for periods in excess of 72 hours* of 95 
d such vehicles in connection with such towing or removal? j_£ 96 
' it finds that such BlflXJ BIUB fees are necessary to Drnttrt 97 

io vemcje Qsnfijcs Er.as — uoxaafiaoatols — or. — excessive charges. 

11 However* no relocator shall impose charges for such storage 98 

12 for the first 72 hours after towing or removal. The 99 

13 {.omission ma* — caauixa — re locators to — MjLataiD financial 100 

l* records in accordance with uniform accounting procedures for 101 

IS the purpose of providing information for setting such rates. 

lb (<») Investigate and maintain current files of the 103 

17 criminal records* if any* of all relocators and their 104 

18 employees* and of all applicants for relocator *s licenses and 105 

19 operator's licenses. 106 

20 (5) Issue relocator's licenses and operator's licenses 107 

21 in accordance with Article IV of this Chapter. 109 
ZZ (6) The Commission* upon verified complaint in writing 110 

23 oy any person* organization or body politic* shall* or upon 111 

24 its own initiative may* investigate whether any commercial 112 

25 vehicle relocator* operator or person otherwise required to 113 

26 comply with any provision of this Chapter or any rule 114 

27 promulgated hereunder* has failed to comply with any such 115 

28 provision or rule. If the Commission* after notice and 

29 hearing. finds that any commercial vehicle relocator* 116 

30 operator or other person required to so comply has failed to 117 

31 comply with any such provision or rule* the Commission shall 118 

32 issue an appropriate order to compel compliance therewith. 119 

33 The Commission shall also provide by rule for the suspension 

34 or revocation of licenses of relocators or operators who arm 120 

35 found to nave committed substantial or repeated violations of 121 



A12 



279 



-3- 



LRBai09<.22FoaK 



tnis Chapter or any rules promulgated hereunder, and snail 122 

suspend or revone licenses pursuant to such rule* 124 

(Ch. 95 1/2, par. 18a-300) 126 

Sec. 18a-30C. Commercial vehicle relocators - Unlawful 127 

practices. It shall be unlawful for any commercial vehicle 128 

relocator: 129 

(1) to operate in any county in which this Chapter is 130 
applicable without first oDtaining from the Commission a 131 
license to operate as provided in Article IV of this Chapter; 132 

(2) to employ as an operator* or otherwise so use the 134 
services of, any person who does not have at the commencement 135 
of employment or service, or at any time during the course of 136 
employment or service, an operator's license issued in 137 
accordance with Sections 18a— 403 or 18a-405 of this Chapter; 138 
or to fail to notify the Commission, in writing, of any known 139 
criminal conviction of any employee occurring at any time 
before or during course of employment or service. 141 

(3) to operate upon the highways of this State any 142 
vehicle used in connection with any commercial vehicle 143 
relocation service unless: 144 

(a) there is painted or firmly affixed to such vehicle 145 

on both sides thereof in a color or colors vividly 146 

contrasting to the color of the vehicle the name, address and 147 

telephone number of the operator thereof. The Commission 148 

shall prescribe reasonable rules and regulations pertaining 149 
to insignia to be painted or firmly affixed to vehicles and 

shall waive the requirements of the address on any such ISO 

vehicle in cases where the operator of a vehicle has painted 151 

or otherwise firmly affixed to the vehicle a seal or trade 152 

mark which clearly identifies the operator of the vehicle; 153 

and 154 

(0) there is carried in the power unit of such vehicle a 155 

certified copy of the currently effective license. Copies 156 

may be photographed, photocopied, or reproduced or printed oy 157 

any other legible and durable process. Any person guilty of 158 



280 



A12 



LRB8109<.22Fi 



1 not causing to De displayed a copy of his license may in any 159 

2 hearing concerning such violation be excused from the payment IfcO 

3 of the penalty hereinafter provided upon a showing that such 

4 license was issued oy the Commission* but was Subsequently 161 

5 lost or destroyed. 163 

6 CO to advertise in any newspaper* book* list* 164 

7 classified directory or other publication unless there is 165 
6 contained in such advertisement the license number of such 166 
9 relocator. 167 

10 (5) to remove any vehicle from private property without 16S 

11 having first obtained the written authorization of the 169 

12 property owner or other person in lawful possession or 170 

13 control of the property* his authorized agent* or an 171 
1* authorized law enforcement officer. Such authorization may 

15 be on a contractual basis covering a period of time or 172 

16 limited to a specific removal. 174 

17 (6) to charge the private property owner* who requested 175 

18 that an unauthorized vehicle be removed from his property* 176 

19 with the costs of removing such vehicle contrary to any terms 177 

20 which may be a part of the contract between the property 176 

21 owner and the commercial relocator. 179 

22 (7) to remove a vehicle when the owner or operator of 180 

23 such vehicle is present or arrives at the vehicle location at 181 

24 any time prior to the completion of removal* and is willing 182 

25 and able to remove the vehicle immediately. 18* 

26 (8) to remove any vehicle from property on which signs 185 

27 are required and on which there are not posted appropriate 186 

28 signs pursuant to Section 18a-302. 188 

29 (9) to fail to notify law enforcement authorities in the 189 

30 jurisdiction in which the trespassing vehicle was removed 190 

31 within one hour of such removal. Notification snail include 191 

32 a complete description of the vehicle* registration numbers 192 

33 if possible* the locations from which and to which the 193 

34 vehicle was removed* the time of removal* and any other 194 

35 information required by regulation* statute or ordinance. 195 



A12 



281 



LK68l09<»22F&aK 



lam-as — ox 



1 (10) to impose any charge for »e^»tee 

2 removal of tr espassing vehicles Lfl e xcess of *35. or to 

3 jjppqse any charge for or storage tor more tnan ij noura other 

<t than in accordance with the rates set by the Commission. 

"> (11) to failt m the office or location at «mcn 

6 relocated vehicles are routinely returned to their ownerst to 

7 prominently post the name* adoress and telephone number of 

8 the nearest office of the Commission to which inquiries or 

9 complaints may be sent. and to make available in written 

10 form* the relevant statutes* regulations and ordinances 

11 governing commercial vehicle relocators. 

12 l 12 1 +4±t to remove any vehicle* otherwise in accordance 

13 with this Act* more than 10 miles from its location when 
It towed. 



196 
197 
198 
200 
201 
202 
203 
20*1 
205 
2 06 
207 
208 
209 



282 



A12 



ALTERNATIVE BILL THIRTEEN 



8lst GENERAL ASSEMBLY 
State of Illinois 



INTRODUCED 



1979 and 1980 
, BY 



SYNOPSIS: 



(Ch. Ill 1/2, par. 1039) 



Amends the "Environmental Protection Act" to 
allow the Pollution Control Board to impose offset 
requirements in order to issue permits to operate an air 
pollution source. The Environmental Protection Agency is 
responsible for documenting these offsets and the Agency 
shall consider an applicant's good faith effort to offset, 
prior reductions in air pollution and the economic growth of 
the applicant in determining if the offset requirement has 
been met. 



Fiscal Note te! 
may be app'cal 



LRB8108557FGjo 



A BILL FOR 



283 



LSB8108557FGjO 



1 AN ACT to amend Section 39 of the "Environment. 

2 Protection Act", approved June 29. 1970. as amenoed. 



r eoresen t 



5 Section l. Section 39 of tne "Environmental Protection 

o Act". approved June 29. 1970. as amended, is amended to read 

7 as fol Ions: 

(CM. Ill 1/2, par. 1039) 

8 Sec. 39. (a) when the Board nas Dy regulation required a 

9 permit for the construction, installation. or operation of 

10 any type of facility. equipment. vehicle. vessel. or 

11 aircraft, the applicant shall apply to the Agency for such 

12 permit and it shall De the duty of the Agency to issue sucn a 

13 permit upon proof Oy the applicant that tne facility. 
1<» equipment, vehicle, vessel, or aircraft will not cause a 

15 violation of this Act or of regulations hereunder. The 

16 Agency shall adopt such procedures as are necessary to carry 

17 out its duties under this Section. In granting permits the 
Id Agency may impose such conditions as may be necessary to 

19 accomplish the purposes of this Act. and as are not 

20 inconsistent with the regulations promulgated Dy tne Board 

21 hereunder. A bond or other security shall not be required as 
ZZ a condition for the issuance of a permit, provided that a 
23 bono or other security may be required as a condition for tne 
2<» issuance of a permit for a hazardous waste disposal site 
25 pursuant to regulations adopted by the Board under Section 
2o ZZ.<f of tnis Act. If the Agency denies any permit unoer this 
27 Section, the Agency shall transmit to the applicant witmn 
2d tne time limitations of this Section specific, oetailea 

29 statements as to the reasons the permit application was 

30 oemeo. Such statements shall include, but not be limiteu to 

31 the fol lowing: 

32 (i) the sections of tnis Act »hicn may be violated if 



284 



A13 



-2- 



IRB8108557FGjO 



1 the permit were granted; 8"* 

2 ("•) tne provision of the regulations, promul gated under 90 

3 this Act. which may be violated if the permit were granted; 91 
* (iii) tne specific type of information, if any, which 93 

5 the Agency deems the applicant Oid not provide the Agency 9* 

6 and; 95 

7 (iv) a statement of specific reasons why the Act and the 96 

8 regulations might not oe met if the permit were granted. 98 

9 If there is no final action oy the Agency within 90 days 99 

10 after the filing of the application for permit, the applicant 100 

11 may deem the permit issued; except that this t i me period 101 

12 shall be extended to 180 days when notice and opportunity for 102 

13 public hearing are required by State or federal law or 

1<* regulation. 103 

15 (b) The Agency may issue NP0ES permits exclusively to 10* 

16 this subsection for the discharge of contaminants from point 105 

17 sources into navigable waters, all as defined in the Federal 10b 

18 water Pollution Control Act Amendments of 1972 (P. i_. 107 

19 92-500). within the jurisdiction of the State. or into any 

20 well. 106 

21 All NPDES permits shall contain those terms and 109 

22 conditions. including but not limited to schedules of 110 

23 compliance. which may be required to accomplish the purposes 111 
2*. and provision of this Act. 112 

25 The Agency may include, among such conditions. effluent 113 

26 limitations and other requirements established under this 11* 

27 Act, Board regulations, the Federal Water Pollution Control 115 

28 Act Amendments of 1972 and regulations pursuant thereto, and 116 

29 schedules for achieving compliance therewith at the earliest 117 

30 reasonable date. 118 

31 Tne Agency shall adopt filing requirements and procedures 119 

32 which are necessary and appropriate for the issuance of NPDES 120 

33 permits, and which are consistent with the Act or regulations 121 
3* adopted by the board, and with the Federal Water Pollution 1^2 
35 Control Act Amendments of 1972 (P. C. 92-500) ano 123 



A13 



285 



■3- 



LR88108557F&, 



regulations pursuant thereto. 

Tne Agency, subject to any conditions wnich may De 
prescrtoed Dy Board regulations? may issue NPOES permits to 
allow discharges beyond deadlines established Oy this Act or 
ay regulations of the Board without tne requirement of a 
variance> subject to the Federal hater Pollution Control Act 
Amendments of 1972 (P. L. 92-500) and regulations pursuant 
tnereto. 

(c) Immediately upon receipt of a request for a permit 
or supplemental permit for a refuse disposal facility* the 
Agency shall notify the State's attorney and the Chairman of 
the County Board of the county in which tne facility is 
located and each member of tne General AssemDl y from tne 
legislative district in which that facility is located and to 
the clerk of each municipality any portion of which is within 
3 miles of the facility, prior to tne issuance of a permit to 
develop a hazardous waste disposal site, the Agency snail 
conduct a public hearing in the county where the site is 
proposed to be located. 

laJ — ID£ — Bojuj miy — D.X — regulation — require owners or 

QOexfliflXS of _ ajj pollution sources to attempt to obtain an 

offsetting redu ction in air BfllluXlflD e")iSS'0nSt to tne 

Eirent — required b_y federal law or regulation? pnor to tne 

issuance of a permit for the operation of the air pollution 

source. 1H£ Ag enc y shaP pe responsible for document' ng aaa 

maintaining records of emission reductions — acpteved — p_y — air 
pollution sour c es .. wnic h gay &<; uti I izefl. for ..sati sf yipg tne 

r-gauctions a_s o ff sets snaJJ — Us. — peld — ay the owner of t n e 

SJiUXCB responsible for t he reduction and may not D e 



fe rreo. Reasonable allowan ces shall be made for economic 

'JLUrtl. 

satisfied the offset requireme 

source; prior To the i mposition of an 

snail also D* considered by the Ag e 




12*, 
125 

126 
127 
126 
129 
13G 
131 
132 
133 
134 
135 
136 
137 
138 
139 
140 

1*1 
142 



145 

146 



1<M 
15C 



131 
15. 



286 



A13 



LRB8108557F&.O 



i ins asxjDii afiajj he grantga, a ^aod fa.tn ef fort Dy.dn 154 

2 applicant t o oota»n an emission offset under ttuJi paragra ph. 155 

3 inaJJ ae gee<neg tQ_ sAtisf v. t*)t a . cefl^' remern, nat^i tmtangin s 156 

4 any ot her provisions of this paragraph. 



A13 



287 



ALTERNATIVE BILL FOURTEEN 



Slst GENERAL ASSEMBLY 
State of Illinois 



INTRODUCED . 



1979 and 1980 
__. BY 



&YNorM»: (Ch. Ill 1/2, par. 1039) 

Amends the * Environmental Protection Act* by 
prohibiting the Environmental Protection Agency from imposing 
a requirement that owners or operators of air pollution 
sources obtain an offsetting reduction in air pollution 
emissions prior to the issuance of a permit to operate the 
air pollution source. 



LRB8109423FGma 



Fiscal Nob Ad 
may be applicable 



A BILL FOR 



289 



LRB8109<.23F&ma 



1 AM ACT to amend Section 39 of the "Environmental 

2 Protection Act"t approved June 29, 1970, as amended* 



5 Section 1. Section 39 of the "Environmental Protection 59 

6 Act'i approved June 29» 1970, as amended, is amended to read 60 

7 as fol louse 61 

(Ch. Ill 1/2, par. 1039) 63 

8 Sec* 39. (a) Mhen the Board has by regulation required a 54 

9 permit for the construction, installation, or operation of 65 

10 any type of facility, equipment, vehicle, vessel, or 66 

11 aircraft, the applicant shall apply to the Agency for such 67 

12 permit and it shall be the duty of the Agency to issue such a 68 

13 permit upon proof by the applicant that the facility, 69 

14 equipment, vehicle, vessel* or aircraft will not cause a 

15 violation of this Act or of regulations hereunder. The 70 

16 Agency shall adopt such procedures as are necessary to carry 71 

17 out its duties under this Section. In granting permits the 72 

18 Agency may impose such conditions as may be necessary to 73 

19 accomplish the purposes of this Act, and as are not 74 

20 inconsistent with the regulations promulgated by the Board 

21 hereunder. A bond or other security shall not be required as 75 
ZZ a condition for the issuance of a permit, provided that a 76 

23 bond or other security may be required as a condition for the 77 

24 issuance of a permit for a hazardous waste disposal site 78 

25 pursuant to regulations adopted by the Board unoer Section 79 

26 ZZ^'t of this Act. If the Agency denies any permit under this 

27 Section, the Agency shall transmit to the applicant within 80 

28 the time limitations of this Section specific, detailed 81 

29 statements as to tne reasons the permit application was 82 

30 oenied. Such statements shall include, but not be limited to 83 

31 the fol lowing: 84 

32 (i) the sections of this Act which may be violated if 85 



A14 



291 



-2- LRB8 109<»23F uma 

1 tne permit were granted; 87 

I (ii) the provision of the regulations* promulgated under 88 

3 tnis Act* xtiich may be violated if the permit were granted; 89 

<, (•••) the specific type of inf or nation* if any* which 91 

5 the Agency deems the applicant did not provide the Agency 92 

t> and; 93 

7 (iv) a statement of specific reasons wny the Act and the 9* 

8 regulations night not be met if tne permit were granted. 96 

9 If tnere is no final action by the Agency within 90 days 97 

10 after the filing of the application for perait. the applicant 98 

11 say deea the permit issued; except that this time period 99 

12 shall be extended to 180 days when notice and opportunity for 100 

13 public hearing are required by State or federal law or 101 
1* regulation. 102 

15 lb) The Agency may issue NPDES peraits exclusively to 103 

16 this subsection for the discharge of contaminants from point 10* 

17 sources into navigable waters* all as defined in the Federal 105 

18 water Pollution Control Act Aaendaents of 1972 (P. L. 106 

19 92-500)* within the jurisdiction of the State* or into any 107 

20 well. 108 

21 All NP0ES peraits shall contain those teras and 109 

22 conditions* including but not liaited to schedules of 110 

23 compliance* which aay be required to accoaplish the purposes 111 
2* and provision of this Act. 112 

25 The Agency aay include* aaong such conditions* effluent 113 

26 Imitations and other requirements established under this 11* 

27 Act* Board regulations* the Federal water Pollution Control 115 

28 Act Amendments of 1972 and regulations pursuant thereto* and 116 

29 schedules for achieving compliance therewith at the earliest 117 

30 reasonaole date. 118 

31 The Agency shall adopt filing requireaents and procedures 119 

32 wnich are necessary and appropriate for the issuance of NPOtS 120 

33 peraits* and which are consistent with the Act or regulations 121 
3* adopted by the Board* and with the Federal water Pollution 122 
35 Control Act Aaendaents of 1972 ,P. L. 92-500) ana 123 



292 



A1A 



LRB8109423FCma 



1 regulations pursuant thereto. 124 

2 The Agency, subject to any conditions which may be 125 

3 prescribed by Board regulations, may issue NPDES permits to 126 

4 allow discharges beyond deadlines established by this Act or 127 

5 by regulations of the Board without the requirement of a 128 

6 variance, subject to the Federal Water Pollution Control Act 129 

7 Amendments of 1972 (P. L. 92-500) and regulations pursuant 130 

8 thereto. 131 

9 (c) Immediately upon receipt of a request for a permit 132 

10 or supplemental permit for a refuse disposal facility, the 133 

11 Agency shall notify the State's attorney and the Chairman of 134 

12 the County Board of the county in which the facility is 135 

13 located and each member of the General Assembly from the 136 

14 legislative district in which that facility is located and to 137 

15 the clerk of each municipality any portion of which is within 

16 3 miles of the facility, prior to the issuance of a permit to 138 

17 develop a hazardous waste disposal site, the Agency shall 139 

18 conduct a public hearing in the county where the site is 140 

19 proposed to be located. - 141 

20 (d) The Agency shall not require, nor attempt to 142 

21 require, owners or operators of air pollution sources to 143 

22 obtain, nor attempt to obtain, an offsetting reduction in air 144 

23 pollution emissions prior to the issuance of a permit for the 145 

24 operation of the air pollution source. The Agency shall make 146 

25 reasonable allowances for economic growth in each area of the 

26 State in determining whether to grant a permit for the 147 

27 operation of a new or modified air pollution source. 148 

28 Emission reductions achieved by the source and efforts to 149 

29 achieve emission reductions shall also be considered. 



A14 



293 



ALTERNATIVE BILL FIFTEEN 



8lst GENERAL ASSEMBLY 
State of Illinois 

1979 and 1980 
BY 



SYNOPSIS: (Ch. Ill 1/2, par. 1010) 

Amends the Environmental Protection Act to 

require the Pollution Control Board to adopt specific 

criteria for the designation of areas of the State that do 

not attain the standards for air quality and for the 

designation of those areas of the State in which control 
measures will be enforced. Effective immediately. 



Fiscal Note Act LRB8108559PMjw 
Stay be app'cable 



A BILL FOR 



295 



lRBei08559PMjw 

AN ACT to amend Section 10 of the "Environmental 
Protection Act", approved June 29 , 1970, as amended* 



hs Li enacted. D_v the People of tne State, of Illinois, 

representeo in the General Assembly: 



5 Section 1. Section 10 of the "Environnental Protection 

6 Act", approved June 29* 1970, as amended* is amended to read 

7 as follows: 

(Ch- 111 1/2. par. 1010) 

8 Sec. 10. The Board, pursuant to procedures prescribed 

9 in Title VII of this Act, may adopt regulations to promote 

10 the purposes of this Title. Without limiting the generality 

11 of this authority, such regulations may among other things 

12 prescribe: 

13 (a) Amoient air quality standards specifying the maximum 

14 permissible short-term and long-term concentrations of 

15 various contaminants in the atmosphere; 

16 (b) Emission standards specifying the maximum amounts or 

17 concentrations of various contaminants that may be discharged 

18 into the atmosphere; 

19 (c) Standards for the issuance of permits for 

20 construction, installation, or operation of any equipment, 

21 facility, vehicle, vessel, or aircraft capable of causing or 

22 contributing to air pollution or designed to prevent air 

23 pollution; 

2<r (d) Standards and conditions regarding the sale, offer, 

25 or use of any fuel, vehicle, or other article determined oy 

26 the Board to constitute an air-pollution hazard; 

27 (e) Alert and abatement standards relative to 

28 air-pollution episodes or emergencies constituting an acute 

29 danger to health or to the environment; 

30 (f) Requirements and procedures for the inspection of 

31 any equipment, facility, vehicle, vessel, or aircraft that 

32 may cause or contribute to air pollution; 



: ,( H-, 



A15 





-2- LRB3108559PMjw 




1 


(g) Requirements and standards for equipment ana 


95 


z 


procedures for monitoring contaminant discharges at tneir 


96 


3 


sources. tne collection of samples and the collection. 


97 


4 


reporting and retention of data resulting from such 


98 


5 


mom tor i ng. 


99 


6 


(h) The Board shall adopt regulations prescrioing the 


100 


7 


conditions under wmch existing fuel comoustion emission 


1 
101 ' 

j 


3 


sources may use intermittent control systems in lieu of 


102 


9 


compliance with sulfur dioxide emission standards. Such 


103 1 


10 


sources upon submission of proof that the use of a 
supplemental control system Mill not contriDute to a 


104 


12 


violation of ambient air quality standards for sulfur 


105 


13 


dioxide, may utilize intermittent control systems, unaer such 


106 


14 


conditions as the Board deems proper, until Oecemoer 31. 


107 


15 


1985. Any source utilizing intermittent control Systems 


108 


16 


pursuant to such Board regulations shall Be in compliance 


109 


17 


with sulfur dioxide emission standards not later than 


110 


18 


Oecemoer 31, 1985. 


111 


19 
20 
21 


The 3oaro shall adopt: regulations prescribing specific 


112 
113 
114 


and uniform criteria for the designation of areas of the 




ZZ 


£ar_ine.oesignst'on of those areas of... tn<? ..State in which 


115 


23 


control measures will be enforced, whenever such de si gnat ions 




24 


are rehired uv this Act or f^^Uior regulars, ^ 


116 


25 


regulations must De adooted by July 1. 1981. No such 


117 


26 


designation shall be valid, nor enforceable, nor used by t n fi 


118 


27 

2b 


Board or the Agency for any purpose, unless the designation 


120 


is c,pns.j_s.tent wixn trie criteria. 


29 


Tne Board may not adopt any regulation banning tne 


121 


33 


burning of leaves throughout the State generally. Tne Board 


122 


31 


may, Oy regulation, restrict or prohibit the burning of 


123 


32 


leaves within any geographical area of the State if it 


124 


33 


determines based on medical and biological evidence generally 


125 


3*. 


accepted by the scientific community that such burning will 




35 


produce in the atmosphere of that geographical area 


126 



A15 



297 



-3- 



LRB8108559PMJW 



contaminants in sufficient quantities and of such 
characteristics and duration as to be injurious to humans, 
plant, or animal life, or health. 



126 
127 

126 



Section 2. 



This Act takes effect upon its becoming a 



298 



A15 



ALTERNATIVE BILL SIXTEEN 



INTRODUCED . 



8lst GENERAL ASSEMBLY 
State of Illinois 

1979 and J 980 
BY 



SYNOPSIS: 



(Ch. Ill 1/2, par. 1010) 



Amends the Environmental Protection Act to exempt 
the Pollution Control Board from the standards and criteria 
requirement of the Adminstrative Procedure Act wher 
designating areas of the State in which control measures wil] 
be enforced or those areas of the State which do not attair 
the standards for air quality. 



LRB8109424PMdv 



A BILL FOR 



299 



LKDdl09<»«;<»HrtOv 



to dmena Section 10 of tne "tnv « r onmenta I 
let", approved June Z9» 1970. as amended. 



Section l. Section 10 of tne "Environmental Protection 
Act"« a Ht ,roveo june 29, 1970, as amenoeo, is amenueo to ruao 
as foil ons: 

(Cn. Ill 1/2, par- 1010) 

Sec. 10. The Board, pursuant to procedures prescrioeo 
in Title Vll of this Act, may aaopt regulations to promote 
tne purposes of tnis Title. without limiting tne generality 
of tnis authority, such regulations may among otner things 
prescr i oe: 

(a) Amoient air quality standards specifying tne maximum 
permissible snort-term ana long-term concentrations of 
various contaminants in tne atmosphere; 

|o| ^mission standards specifying the maximum amount* or 
concentrations of various contaminants that nay be uiscnar^eu 
into tne atnospnere ; 

(c) standards for trie issuance of permits tor 
construction, installation, or operation of any eu,u i puient , 
facility, venicle, vessel, or aircraft capaole of causing or 
contributing to air pollution or designed to prevent «jir 



pol 



i on; 



(d) Standards and conditions regaroing the sale, ofrer, 
or use of any fuel, venic'e, or other article uetermineu o f 
tne ooaru to constitute an air-pollution naiaro; 

(e) Alert ano abatement stando-ros relative to 
ai r -po 1 I ut i on episodes or emergencies constituting n oCuio 
danger, to nealtn or to tne environment; 

(f) nequi r ements and procedures tor tne inspection or 
any eq.uip.nent, racility, vehicle, vessel, or aircrart thdt 
may cause or contribute to sir pollution; 



300 



A16 



11 JVW.P '-tow 



(j) requirements ana standards for equipment ana 
procedures for monitoring contaminant discharges at their 
sources. the collection of samples ana the collection, 
reporting and retention of data resulting from such 
irioni tjr i ng. 

(M) The board shall aco,jt regulations prescrioin^ trie 
conditions under which existing fuel co.noustion emission 
sources na/ use intermittent control syste.ns in lieu of 
compliance with sulfur dioxide emission standards. Such 
sources upon submission of proof that the use of a 
supplemental control system will not contribute to a 
violation of ambient air quality standards for sulfur 
dioxide, may utilise intermittent control systems, under such 
conditions as the Board deems proper. until December 31. 
1985. Any source utilizing intermittent control systems 
pursuant to such board regulations shall be in compliance 
with sulfur dioxide emission standards not later than 
Oecember 31. 1985. 

anenever the Board ia .reaui red D-y this Act or by feger d i 




designa tions shall be a t the sole discretion of the Board and 
no cr i ter ia or s_ta.ria.axd.s. ifll iU£J3 flg&JSflflXjiflflS S hd ? I C>£ 

r_£flu_Lr£d_t^_n£_s_t,ated Dy tne Board. 

Tne Board may not adopt any regulation banning the 
burning of leaves throughout the State generally. Tne board 
may. by regulation, restrict or prohibit the ournin^ of 
leaves within any geographical area of the Hate if it 
determines based on medical ana biological evidence generally 
accepted Of the scientific community that sucn burning will 
produce in the atmosphere of that geographical area 
contaminants in - sufficient quantities ana of such 



100 
101 

102 

503 
104 

105 
106 
107 

ioe 

109 

no 
in 

U2 

113 
LI* 

115 
11* 
117 
I IB 
119 | 
120 
I2i 

VIZ 
123 



A16 



301 



i cndr d^ter istics , 

2 planti or dni.nal 



-3- l*5J10<»<,<:<.p*av 

duration ds to oe injurious to nundnsi 
ei or health. 



302 



A16 



APPENDICES 

Pages 

Appendix A: Illinois Administrative Procedure Act as Effective 

January 1, 1980 305-318 

Appendix B: Amendments to the Illinois Administrative Procedure 
Act Enacted During 1979 

1) House Bill 2226 (Public Act 81-1044) Effective October 1, 1979 319-331 

2) House BiU 1196 (Public Act 81-1035) Effective January 1 1980 332-335 

3) Senate Bill 419 (Public Act 81-1129) Effective January 1, 1980 336 

Appendix C: Operational Rules of the Joint Committee as 

effective January 1, 1980 337-378 

Appendix D: Joint Committee Position Paper: Implicit and Explicit 

Rulemaking Authority Delegated to State Agencies (Adopted May 29, 1979) 379-387 

Appendix E: Joint Committee Staff Paper: Alternatives for Strengthening 

Legislative Review of Administrative Rules in Illinois 389-396 



Appendix F: Attorney General Opinions 

1) Environmental Protection Agency Rules on Public Water Supplies 

(File Number S-1409, Issued January 10, 1979) 397-403 

2) Northeastern Illinois Planning Commission (File Number S-1434, 



Issued April 30, 1979) 405-408 

Appendix G: Stephen v. Quern, Illinois Circuit Court of the Sixth Judicial 

Circuit, Court Order Entered March 19, 1979 409-411 



303 



APPENDIX A 

THE ILLINOIS ADMINISTRATIVE PROCEDURE ACT 

(ILLINOIS REVISED STATUTES, CHAPTER 127, PARAGRAPHS 1001-1021) 

AS EFFECTIVE JANUARY 1, 1980 



Section 1. SHORT TITLE) This Act shall be known and may be cited as "The Illinois 
Administrative Procedure Act." (PA 79-1083, effective September 22, 1975) 

Section 2. APPLICABILITY) This Act applies to every agency as defined herein. 
Beginning January 1, 1978 in case of conflict between the provisions of this Act and the 
Act creating or conferring power on an agency, this Act shall control. However 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 administrative 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 funding 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, (3) legal opinions issued under Section 2-3.7 of The School 
Code, and (4) as to State colleges and universities, their disciplinary and grievance 
proceedings, academic irregularity and capricious grading proceedings, and admission 
standards and procedures. Neither shall the provisions of this Act apply to hearings under 
Section 20 of the "Uniform Disposition of Unclaimed Property Act." (PA 79-1083; 
Amended by PA 80-1035, effective September 27, 1977; Amended by PA 80-1457, 
effective January 1, 1979) 

Section 3. DEFINITIONS) As used in this Act, unless the context otherwise requires, 
the terms specified in Section 3.01 through 3.09 have the meanings ascribed to them in 
those Sections. (PA 79-1083) 

Section 3.01. AGENCY) "Agency" means each officer, board, commission and 
agency created by the Constitution, whether in the executive, legislative, or judicial 
branch of State government, but other than the circuit court; each officer, department, 
board, commission, agency, institution, authority, university, body politic and corporate of 
the State; and each administrative unit or corporate outgrowth of the State government 
which is created by or pursuant to statute, other than units of local government and their 
officers, school districts and boards of election commissioners; each administrative unit 
or corporate outgrowth of the above and as may be created by executive order of the 
Governor. However, "agency" does not include: 

(a) the House of Representatives and Senate, and their respective standing and 
service committees; 

(b) the Governor; and 

(c) the justices and judges of the Supreme and Appellate Courts. 



3 or, 



No entity shall be considered an "agency" for the purposes of this Act unless 
authorized by law to make rules or to determine contested cases. (PA 79-1083; Amended 
by PA 80-1457, effective January 1, 1979) 

Section 3.02. CONTESTED CASE) "Contested case" means an adjudicatory 
proceeding, not including rate-making, rule-making, quasi-legislative, informational or 
similar 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. (PA 
79-1083; Amended by PA 80-1035, effective September 27, 1977) 

Section 3.03. HEARING EXAMINER) "Hearing examiner" means the presiding 
officer or officers at the initial hearing before each agency and each continuation 
thereof. (PA 79-1083) 

Section 3.04. LICENSE) "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. (PA 79-1083) 

Section 3.05. LICENSING) "Licensing" includes the agency process respecting the 
grant, denial, renewal, revocation, suspension, annulment, withdrawal or amendment of a 
license. (PA 79-1083) 

Section 3.06. PARTY) "Party" means each person or agency named or admitted as a 
party, or properly seeking and entitled as of right to be admitted as a party. (PA 79-1083) 

Section 3.07. PERSON) "Person" means any individual, partnership, corporation, 
association, governmental subdivision, or public or private organization of any character 
other than an agency. (PA 79-1083) 

Section 3.08. RATE-MAKING OR RATE-MAKING ACTIVITIES) "Rate-making" or 
"rate-making activities" means the etablishment or review of or other exercise of control 
over the rates or charges for the products or services of any person, firm or corporation 
operating or transacting any business in this State. (PA 79-1083) 

Section 3.09. RULE) "Rule" means each agency statement of general applicability 
that implements, applies, interprets, or prescribes law or policy, but does not include (a) 
statements concerning only the internal management 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 standarized forms. (PA 79-1083; Amended by PA 80-1035, effective 
September 27, 1977) 

Section 4. ADOPTION OF RULES: PUBLIC INFORMATION, AVAILABILITY OF 
RULES) (a) In addition to 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 functions. 



306 



(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. (PA 79- 
1083; Amended by PA 80-1035, effective September 27, 1977) 

Section 4.01. REQUIRED RULES) (a) Each agency shall maintain as rules the 
following: 

1. a current description of the agency's organization with necessary charts 
depicting same; 

2. the current procedures on how the public can obtain information or make 
submissions or requests 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 depicting same. 

(b) The rules required to be filed by this Section may be adopted, amended, or 
repealed and filed as provided in this Section in lieu of any other provisions or 
requirements of this Act. 

The rules required by this Section may be adopted, amended, or repealed by filing a 
certified copy with the Secretary of State as provided by paragraphs (a) and (b) of Section 
6, and may become effective immediately. (Added by PA 80-1035, effective September 
27, 1977; Amended by PA 81-1044, effective October 1, 1979) 

Section 4.02. STANDARDS FOR DISCRETION) Each rule which implements a 
discretionary power to be exercised by an agency shall include the standards by which the 
agency shall exercise the power. Such standards shall be stated as precisely and clearly as 
practicable under the conditions, to inform fully those persons affected. (Added by PA 
80-1129, Effective January 1, 1980) 

Section 5. PROCEDURE FOR RULE-MAKING) (a) Prior to the adoption, 
amendment or repeal of any rule, each agency shall accomplish the actions required by 
Sections 5.01, 5.02 or 5.03, whichever is applicable. 

(b) 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 compliance 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. 

(c) 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. (PA 79-1083; Amended by PA 80-1035, effective September 27, 1977; 
Amended by PA 81-1044, effective October 1, 1979) 



30? 



Section 5.01. GENERAL RULEMAKING) In all rulemaking to which Section 5.02 or 
5.03 does not apply, each agency shall: 

(a) give at least 45 days' notice of its intended action to the general public. This 
first notice period shall commence on the first day the notice appears in the Illinois 
Register. The first notice shall include a text of the proposed rule, or the old and new 
materials of a proposed amendment, or the text of the provision to be repealed; the 
specific statutory citation upon which the proposed rule, the proposed amendment to a 
rule or the proposed repeal of a rule is based and is authorized; a complete description of 
the subjects and issues involved; and the time, place and manner in which interested 
persons may present their views and comments concerning the intended action. 

During the first notice period, the agency shall provide all interested persons who 
submit a request to comment within the first 14 days of the notice period reasonable 
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 shall indicate the manner selected by the agency for such 
submissions. The agency shall consider all submissions received. 

(b) provide up to 45 days additional notice of its intended action to the Joint 
Committee on Administrative Rules. The second notice period shall commence on the day 
written notice is received by the Joint Committee, and shall expire 45 days thereafter 
unless prior to that time the agency shall have received a statement of objection from the 
Joint Committee, or notification from the Joint Committee that no objection will be 
issued. The written notice to the Joint Committee shall include the text and location of 
any changes made to the proposed rule during the first notice period, and, if written 
request has been made by the Joint Committee within 30 days after initial notice appears 
in the Illinois Register pursuant to Paragraph (a) of this Section, shall include an analysis 
of the economic and budgetary effects of the proposed rule. After commencement of the 
second notice period, no substantive change may be made to a proposed rule unless it is 
made in response to an objection or suggestion of the Joint Committee. 

(c) after the expiration of 45 days, after notification from the Joint Committee 
that no objection will be issued, or after response by the agency to a statement of 
objections issued by the Joint Committee, whichever is applicable, the agency shall file, 
pursuant to Section 6 of this Act, a certified copy of each rule, modification, or repeal of 
any rule adopted by it, which shall be published in the Illinois Register. Each rule 
hereafter adopted under this Section is effective upon filing, unless a later effective date 
is required by statute or is specified in the rule. (Added by PA 81-1044, effective October 
1, 1979) 

Section 5.02 EMERGENCY RULEMAKING) "Emergency" means the existence of 
any situation which any agency finds reasonably constitutes a threat to the public 
interest, safety or welfare. Where any agency finds that an emergency exists which 
requires adoption of a rule upon fewer days than is required by Section 5.01, and states in 
writing its reasons for that finding, the agency may adopt an emergency rule without prior 
notice or hearing, upon filing a notice of emergency rulemaking with the Secretary of 
State pursuant to Section 6.01 of this Act. Such notice shall include the text of the 
emergency rule and shall be published in the Illinois Register. Subject to applicable 
constitutional or statutory provisions, an emergency rule becomes effective immediately 
upon filing pursuant to Section 6, or at a stated date less than 10 days thereafter. The 
agency's finding and a statement of the specific reasons therefore shall be filed with the 



308 



rule. The agency shall take reasonable and appropriate measures to make emergency 
rules known to the persons who may be affected by them. 

An emergency rule may be effective for a period of not longer than 150 days, but 
the agency's authority to adopt an identical rule under Section 5.01 of this Act is not 
precluded. No emergency rule may be adopted more than once in any 24 month period. 
Two or more emergency rules having subtantially the same purpose and effect shall be 
deemed to be a single rule for purposes of this Section. (Added by PA 81-1044, effective 
October 1, 1979) 

Section 5.03. PEREMPTORY RULEMAKING) "Peremptory rulemaking" means any 
rulemaking which is required as a result of federal law, federal rules and regulations, or 
an order of a court, under conditions which preclude compliance with general rulemaking 
requirements imposed by Section 5.01 and which preclude the exercise of discretion by the 
agency as to the content of the rule it is required to adopt. Where any agency finds that 
peremptory rulemaking is necessary and states in writing its reasons for that finding, the 
agency may adopt peremptory rulemaking upon filing a notice of rulemaking with the 
Secretary of State pursuant to Section 6.01 of this Act. Such notice shall be published in 
the Illinois Register. A rule adopted under the peremptory rulemaking provisions of this 
Section becomes effective immediately upon filing with the Secretary of State and in the 
agency's principal office, or at a date required or authorized by the relevant federal law, 
federal rules and reguations, or court order, as stated in the relevant federal law, rules 
and regulations, and shall be in such form as the Secretary of State may reasonably 
prescribe by rule. The agency shall file the notice of peremptory rulemaking within 30 
days after a change in rules is required. (Added by PA 81-1044, effective October 1, 1979) 

Section 6. FILING OF RULES) (a) Each agency shall file in the office of the 
Secretary 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 applicable 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. 

(b) Concurrent with the filing of any material pursuant to this Section, the filing 
agency shall submit to the Secretary of State for publication in the next available issue of 
the Illinois Register a notice of rulemaking 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, such notice of repeal shall be published. (PA 79- 
1083; Amended by PA 80-1035, effective September 27, 1977; Amended by PA 81-1044, 
effective October 1, 1979) 

Section 6.01. FORM AND PUBLICATION OF NOTICES) The Secretary of State may 
prescribe reasonable rules concerning the form of documents to be filed with him, and 
may refuse to accept for filing such certified copies as are not in compliance with such 
rules. In addition, the Secretary of State shall publish and maintain the Illinois Register 
and may prescribe reasonable rules setting forth the manner in which agencies shall 
submit notices required by this Act for publication in the Illinois Register. 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 



309 



following business day and sent to subscribers who subscribe for the publication with the 
Secretary of State. The Secretary of State may charge a subscription price to subscribers 
that covers mailing and publication costs. 

Notwithstanding any other provision of this Act, if an agency proposes or adopts 
federal rules or portions thereof, the requirement that the full text thereof be filed shall 
be satisfied by filing with the applicable notice a photographic or other reproduction of 
such rules, or a statement that the agency proposes to adopt or is adopting such rules with 
a citation to the Federal Register or Code of Federal Regulations where the text appears. 
If an agency proposes or adopts as rules the standards or guidelines, or portions thereof, of 
any professional, trade or other association or entity, the requirement that the full text 
thereof be filed shall be satisfied by filing with the applicable notice a photographic or 
other reproduction of such standards or guidelines. (Added by PA 81-1044, effective 
October 1, 1979) 

Section 7. PUBLICATION OF RULES) (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 7.01 of this Act. The initial compilation, index 
and publication required by this Section shall contain all rules in effect on July 1, 1980, 
and shall be filed as provided in subsection (b) not later than October 1, 1980. Thereafter, 
compilations shall be supplemented or revised and certified as current to the Secretary of 
State at least once every 2 years. 

(b) Compilations, supplements and revisions required 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, fllinois, and with the Joint Committee on Administrative Rules. The 
agency shall make compilations, supplements and revisions available upon request to 
agencies and officials of this State without charge and to other persons at prices 
established by the agency to cover mailing and publication costs. 

(c) The Secretary of State shall, by rule, prescribe a uniform system for the 
codification of rules on or before July 1, 1980. All rules on file with the Secretary of 
State and in effect on July 1, 1984, shall be in compliance with the uniform system for the 
codification of rules. The Secretary of State shall not adopt any codification system 
under this subsection without the approval of the Joint Committee on Administrative 
Rules. Approval by the Joint Committee shall be conditioned solely upon establishing that 
the proposed codification system is compatible with existing electronic data processing 
equipment and programs maintained by and for the General Assembly. (PA 79-1083; 
Amended by PA 80-1035, effective September 27, 1977; Amended by PA 80-1457, effective 
January 1, 1979) 

Section 7.01. CERTIFICATION) (a) Beginning January 1, 1978, whenever a rule, or 
modification or repeal of any rule, is filed with the Secretary of State, the Secretary of 
State within three 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. 

(b) Any rule on file with the Secretary of State on January 1, 1978 shall be void 60 
days after the date unless within such 60 day period the issuing agency certifies to the 
Secretary of State that the rule is currently in effect. 



310 



Within 45 days after the receipt of any certification pursuant to this sub-section (b), 
the Secretary of State shall send the Joint Committee on Administrative Rules 
established in Section 7.02 a copy of each agency's certification so received along with a 
copy of the rules covered by the certification. (Added by PA 80-1035, effective 
September 27, 1977) 

Section 7.02. JOINT COMMITTEE ON ADMINISTRATIVE RULES) (a) The Joint 
Committee on Administrative 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 members appointed by the Speaker of the the House of 
Representatives and 4 by the House Minority Leader. 

Members of the Joint Committee shall be appointed during the month of July of 
each odd numbered year for 2 year terms beginning August 1, and until their successors 
are appointed and qualified. 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 as 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 same political party. Members of the Joint Committee 
shall serve without compensation, but shall be reimbursed for expenses. The Joint 
Committee shall hold monthly meetings and may meet oftener upon the call of the 
Chairman or 4 members. A quorum of the Joint Committee consists of a majority of the 
members. 

(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 Executive 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) 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 
PA 80-1035, effective September 27, 1977; Amended by PA 80-1457, effective January 1, 
1979) 

Section 7.03. OATHS; AFFIDAVITS; SUBPOENA) (a) The Executive Director of the 
Joint Committee or any person designated by him may administer oaths or affirmations, 
take affidavits or depositions of any person. 



311 



(b) The Executive Director, upon approval of majority vote of the Joint 
Committee, or the presiding officers may subpeona and compel the attendance 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 of the court issued in response thereto shall be punished 
as a contempt. (Added by PA 80-1035, effective September 27, 1977) 

Section 7.04. POWERS OF JOINT COMMITTEE) The Joint Committee shall have the 
following powers 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 investigate compliance of agencies 
with the provisions of this Act, make periodic investigations of the rule-making activities 
of all agencies, and evaluate and report on all rules in terms of their propriety, legal 
adequacy, relation to statutory authorization, economic and budgetary effects 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 authority to request from any agency an 
analysis of the: 

a. effect of a new rule, amendment or repealer, including any direct economic 
effect on the persons regulated by the rule; any anticipated effect on the proposing 
agency's budget and the budgets of other State agencies; and any anticipated effects on 
State revenues; 

b. agency's evaluation of the submissions presented to the agency pursuant to 
Section 5.01 of this Act; 

c. a description of any modifications from the initially published proposal made 
in the finally accepted version of the intended rule, amendment or repealer. (Added by 
PA 80-1035, effective September 27, 1977; Amended by PA 81-1044, effective October 1, 
1978; Amended by PA 81-1035, effective January 1, 1980) 

Section 7.05. RESPONSIBILITIES OF JOINT COMMITTEE) The Joint Committee 
shall have the following responsibilities under this Act: 

1. The Joint Committee shall conduct a systematic 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, for the purpose of improving the rule-making process, reducing 
the number and bulk of rules, removing 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 statutory authority on which any 
administrative rule is based. 

3. The Joint Committee shall maintain a review program, to study the impact of 
legislative changes, court rulings and administrative action on agency rules and rule- 
making. 



312 



4. The Joint Committee shall suggest rulemaking of an agency whenever the 
Joint Committee, in the course of its review of the agency's rules under this Act, 
determines that the agency's rules are incomplete, inconsistent or otherwise deficient. 
(Added by PA 80-1035, effective September 27, 1977; Amended by PA 81-1044, effective 
October 1, 1979) 

Section 7.06. JOINT COMMITTEE OBJECTION TO PROPOSED RULE-MAKING) (a) 

The Joint Committee may examine any proposed rule, amendment to a rule, and repeal of 
a rule for the purpose of determining whether the proposed rule, amendment to a rule, or 
repeal of a rule is within the statutory 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 was 
given prior to its adoption, amendment, effect of the rule, amendment or repeal. 

(b) If the Joint Committee objects to a proposed 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 45 days after notice of proposed rulemaking has been received by the 
Joint Committee, the Joint Committee 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 repealer 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 such modifications as are necessary to 
meet the objections and shall resubmit the rule, amendment or repealer to the Joint 
Committee. In addition, the agency shall submit a notice of its election to modify the 
proposed rule, amendment or repealer to meet the Joint Committee's objections to the 
Secretary of State, which notice shall be published in the first available issue of the 
Illinois Register, but the agency shall not be required to conduct a public hearing. If the 
Joint Committee determines that the modifications do not remedy the Joint Committee's 
objections, it shall so notify the agency in writing and shall submit a copy of such 
notification to the Secretary of State for publication in the next available issue of the 
Illinois Register. In addition, the Joint Committee may recommend legislative action as 
provided in subsection (g) for agency refusals. 

(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 Secretary 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, amendment or repealer, within the time prescribed in subsection (c) shall 
constitute withdrawal of the proposed rule, amendment or repealer 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 available 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. 



313 



(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, it shall notify the 
Joint Committee in writing of its refusal and shall submit a notice of refusal to the 
Secretary of State which shall be published in the next available issue of the Illinois 
Register. If the Joint Committee decides to recommend legislative action in response to 
an agency refusal, 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 Committee. 

(h) No rule, amendment or repeal of a rule shall be accepted by the Secretary of 
State for filing under Section 6, if such rule-making is subject to this Section, until after 
the agency has responded to the objections of the Joint Committee as provided in this 
Section. (Added by PA 80-1035, effective September 27, 1977; Amended by PA 81-1044, 
effective October 1, 1979) 

Section 7.07. JOINT COMMITTEE OBJECTION TO EXISTING RULE) (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. 

(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 certification, the agency shall: 

1. Notify the Joint Committee that it has elected to amend the rule to meet the 
Joint Committee's objection; 

2. Notify the Joint Committee that it has elected 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 notify the Joint Committee in writing and shall initiate rule-making procedures 
for that purpose by giving notice as required by Section 5 of this Act. 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 result of the Joint Committee 
objections, it shall notify 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, it shall notify the Joint Committee in writing of its 
refusal and shall submit a notice of refusal to the Secretary of State which shall be 



314 



published in the next available issue of the Illinois Register. If the Joint Committee, in 
response to an agency refusal, 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 
Committee. (Added by PA 80-1035, effective September 27, 1977; Amended by PA 81- 
1044, effective October 1, 1979) 

Section 7.08. PERIODIC EVALUATION BY JOINT COMMITTEE) (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 schedule the Joint Committee shall group rules by specified areas to assure the 
evaluation of similar rules at the same time. Such schedule shall include at least the 
following categories: 



L. 


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 reforms which effect rules or rule- 
making; 

2. merger, modification, establishment or abolition of regulations; 

3. eliminating or phasing out outdated, overlapping or conflicting regulatory 
jurisdictions or requirements of general applicability; and 

4. economic and budgetary effects. (Added by 80-1035, effective September 27, 
1977; Amended by PA 81-1035, effective January 1, 1980) 

Section 7.09. JOINT COMMITTEE RULE-MAKING) 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 PA 80-1035, effective 
September 27, 1977) 

Section 7.10. REPORT BY JOINT COMMITTEE) The Joint Committee shall report 
its findings, conclusions and recommendations including suggested legislation to the 
General Assembly by February 1 of each year. (Added by PA 80-1035, effective 
September 27, 1977) 

Section 8. PETITION FOR ADOPTION OF RULES) Any interested person may 
petition an agency requesting the promulgation, amendment or repeal of a rule. Each 
agency shall prescribe by rule the form for petitions and the procedure for their 



315 



submission, consideration and disposition. If, within 30 days after submission of a 
petition, the agency has not initiated rule-making proceedings in accordance with Section 
5 of this Act, the petition shall be deemed to have been denied. (PA 79-1083) 

Section 9. DECLARATORY RULINGS BY AGENCY) 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 appealable. (PA 79-1083) 

Section 10. CONTESTED CASES; NOTICE; HEARING) (a) In a contested case, all 
parties shall be afforded an opportunity for hearing after reasonable notice. Such notice 
shall be served personally 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 jurisdiction 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. (PA 79-1083) 

Section 11. RECORD IN CONTESTED CASES) (a) The record in a contested case 
shall include: 

1. all pleadings (including all notices and responses thereto), motions, and rulings; 

2. evidence received; 

3. a statement of matters officially noticed; 

4. offers of proof, objections and rulings thereon; 

5. proposed findings and exceptions; 

6. any decision, opinion or report by the hearing 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 communciation prohibited by Section 14 of this Act, but such communica- 
tions shall not form the basis for any finding of fact. 

(b) Oral proceedings or any part thereof shall be recorded stenographically 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. (PA 79-1083) 

Section 12. RULES OF EVIDENCE; OFFICIAL NOTICE) In contested cases: 

(a) Irrelevant, immaterial or unduly repetitious evidence shall be excluded. The 

rules of evidence 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 precluded by statute) if it is a type commonly relied upon by 



316 



reasonably prudent men in the conduct of their affairs. Objections to evidentiary offers 
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 disclosure 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 generally 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 memoranda or data, and they shall be afforded an 
opportunity to contest the material so noticed. The agency's experience, technical 
competence and specialized knowledge may be utilized in the evaluation of the evidence. 
(PA 79-1083) 

Section 13. PROPOSAL FOR DECISION) 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 decision, if 
adverse to a party to the proceeding other than the agency, shall not be made until a 
proposal 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. (PA 79-1083) 

Section 14. DECISIONS AND ORDERS) 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 include findings of fact and conclusions of law, spearately stated. 
Finding of fact, if set forth in statutory langauge, shall be accompanied by a concise and 
explicit statement of the underlying facts supporting the findings. If, in accordance with 
agency rules, a party submitted proposed findings of fact, the decision shall include a 
ruling upon each proposed finding. Parties or their agents appointed to receive service of 
process shall be notified either personally or by registered or certified mail 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 record. 

A decision by any agency in a contested case under 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 Section 18 of 
this Act and except to the extent the agency has adopted its own rules for contested cases 
as authorized in Section 2 of this Act. (PA 79-1083; Amended by PA 80-1035, effective 
September 27, 1977) 

Section 15. EX PARTE CONSULTATIONS) Except 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 hearing in a 
contested case or licensing to which the procedures of a contested case apply under this 
Act, communicate, directly or indirectly, in connection with any issue of fact, with any 



317 



person or party, or in connection with any other issue with any party or his representative, 
except upon notice and opportunity for all parties to participate. However, an agency 
member may communicate with other members of the agency, and an agency member or 
hearing examiner may have the aid and advice of one or more personal assistants. (PA 79- 
1083; Amended by PA 80-1035, effective September 27, 1977) 

Section 16. LICENSES) (a) When any licensing 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 sufficient application for the renewal of 
a license or a new license with reference to any activity of a continuing nature, the 
existing license shall continue in full force and effect until the final agency decision on 
the application has been made unless a later 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 notice to the licensee of the facts 
or conduct upon which the agency will rely to support its proposed action, and an 
opportunity for hearing in accordance with the provisions of this Act concerning contested 
cases. At any such hearing, the licensee shall have the right to show compliance with all 
lawful requiremnts for the retention, or continuation or renewal of the license. If, 
however, the agency finds that the public interest, safety or welfare 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 
other action which proceedings shall be promptly instituted and determined. 

Any application for renewal of a license which contains required and relevant 
information, data, material or circumstances which were not contained in an application 
for the existing license, shall be subject to the provisions of Section 16(a) of this Act. (PA 
79-1083; Amended by PA 80-1035, effective September 27, 1977) 

Section 17. RATE-MAKING) Every agency which is empowered by law to engage in 
rate-making activities shall establish by rule, not inconsistent with the provisions of law 
establishing such rate-making jurisdiction, the practice and procedure to be followed in 
rate-making activities before such agency. (PA 79-1083) 

Section 18. WAIVER) Compliance with any or all of the provisions of this Act 
concerning contested cases may be waived by written stipulation of all parties. (PA 79- 
1083) 

Section 19. (PA 79-1083; Repealed as of January 1, 1978, by PA 80-1035, effective 
September 27, 1977) 

Section 20. SEVERABILITY) 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. (PA 
79-1083) 

Section 21. EFFECTIVE DATE) This Act takes effect upon its becoming a law. (PA 
79-1083, effective September 22, 1975) 



318 



APPENDIX B 

AMENDMENTS TO THE ADMINISTRATIVE PROCEDURE ACT 

ENACTED DURING 1979 

1) HOUSE BILL 2226 (PUBLIC ACT 81-1044) 

Approved September 24, 1979 
Effective October 1, 1979 















HB2226 Enrolled LHB0103468BBd vB 






1 


AN ACT to amend Sections 4.01. 5, 6, 7.04, 7.05, 7.06 and 


56 




2 


7.07 of and to add Sections 5.01, 5.02, 5.03 and 6.01 to 


57 




3 


"The Illinois Adniuistra tive Procedure Act", approved 


58 




4 


September 22, 1975, as amended. 


59 


o 


5 

6 


Be it enacted bv the People of the State of Illinois, 


61 
62 


represented in the General Assembly: 




7 


Section 1. Sections 4.01, 5, 6, 7.01, 7.05, 7.06 and 


64 


£ 


8 


7.07 of "The Illinois Ad riinistrati ve Procedure Act", approved 


65 




9 


September 22, 1975, as amended, are amended, and Sections 


66 




10 


5.01, 5.02, 5.03 and 6.01 are added thereto, the amended and 


67 


1 


11 


added Sections to read as follows: 




rA 




(Ch. 127, par. 1004.01) 


69 


C> 


12 


Sec. 4.01. - (a) Each agency shall maintain as rules a- 


71 


i 


13 


rule the following: 




A 


?,* 


1. a current description of the agency's organization 


73 


V 


15 


with necessary charts depicting sane; 


74 




1b 


2. the current procedures on how the public can obtain 


76 


> 

• 


17 


infornation or make submissions or requests on subjects. 


77 


18 


programs, and activities of the agency; 


78 


o 
ft 

o 


19 


3. tables of contents, indices, reference tables, and 


80 




20 


other materials to aid __ users in finding and usxng the 


81 


3 


21 


agency's collection of rules currently in force; and 


82 


o 
X 


22 


4. a current description of the agency's rule making 


84 


c 


23 


procedures with necessary flow charts depicting same. 


85 


2U 


(b) The rules required to be filed by this Section may 


87 


o 

C 


25 


be adopted, amended, or repealed and filed as provided in 


88 


'5 
o 


26 


this Section in lieu of any other provisions or requirements 


89 




27 


of this Act. 




S 


28 


The rules required by this Section may be adopted. 


91 




29 


amended, or repealed by filing a certified copy with the 


92 




\ 

CHS 


30 


Secretary of State as provided by paragraphs (a) and (b) of 


93 




31 


Section 6, and may becoae effective immediately. 


94 




< 


UArt 


' (Ch. 127, par. 1005) 


96 




<fiT 








CO 

1? 









31^ 



UB2226 Enrolled 



LEB8 103«6Urtfid-vB 






Sec. 5. Procedure for Hule-Haking.) (a) Prior to the 
adoption, amendment or repeal of any rule, each agency shall 

accomp lish the actio ns required hy S e ction 5.01 , 5^.02 or 

5.03, whichever is applicable. * 

4-, jive — a-t — le a st ' ) 5 days ' — notice of itc intended action. 

t his notie -e — period shall — coiionco — e* — t*e — f irot — d-a-y — t4*« — not io e 

appears in — t-h^- Illinoi s Eojiattr. S4h?— notice shall include a 

text — &4 — the proposed ni le , — or the — e±4 — a-*d — now oatorialo of a 

proposed amoDdaent, e-r th-e text — e-f- tie provision — to be 

rcfcj led j — tie — specific statutory citation upon which the 



proposed rule, %4+e proposed 



rule or the 



proposed repeal — e-f — a — rule — i-s based — a-n-d i-G — authorised ; a- 

descr iptioc &£ th-e sub j o g ts — *ft4 issu e s — involved ; — a-ffd — t4*-e 

time, — pl a ce a-fnj manner — -i* which i ntorostod persons aa-y 

p res en t their — views a-frd coaaonto concerning the intended 

action , 



tition, — the Secretary of — State shall publis fe 



arttd maintain the Illinois Bcgiotcr and sot forth the naacor 

i n which agencies shall subait the notices required by this 



i-j-lir i i ois Roi 



ihall be published at least once each w ee i 



the sar.o day — unless such day is an official State h o liday 



■i-fl — which — cane — fe-^e — Illinois register — shall — be published on — fch-e 

r . cKt — follo w ing business — d-a-y a&d soot — t-s subscribers wh-o 

s-u-b senbo £-o* t4re publication with — the Secretary of Stato. 

Th e S ecretary of State — may charge a subscription price to 

subscriber s — that — e ovors aailinj — a-u-d — publication — oootoi 

■2-. afford a-tl interested porsonc who submit a request 

w ithin — *-f days after notice e4j fch-e proposed change is 

publ ished in the — Illinois Begistor — reasonable — o pportunity — fc-e 



-.ubrait data, — vic i 



discretior 



ar gu m e nts or coa-Dents, 



^eh — may, — in tin 



— a gency, — be s t 

-4-h-e n otic e p ublishe 



od either 



orally or Id 
t4ve Illinoio 



w-frit-i ng or both . 

Register of the Secretary of State shall indicate — t-be — w nncr 

selectod by the agency ie-t o uch ouboissiono » Z-he agency 

Gh a ll c onsider — fully all cubuissious respecting t h e proposed 



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PA81-1044 























11 a an 


9 j ' 




* 








11 


. t 


'-af c t\ 


,. 


















ice- ado. tion 












• 


. 
























































f»^>-p 




" i 




J ■" 
















d 


to 




identical 


rule under 


UUCCCC 10 c 







HB2226 Fnrolled 

1 

2 
3 



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LnBB103468liadvB 



-4a } (3) — of thi s Section is not precluded . 

(b) ■&+■ So action bj any agency to adopt, amend or 
repeal a rule after this Act has become applicable to the 
agency shall be valid unless taken in compliance 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. 

(c) -{4-)- 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-J Jri — any a g ency io required by — federal law or fedora i 

rulc - G and regulations or by an order of coutt — to adopt a rule 

under conditi o ns w hiGh preclude — t-h-e — agency's oos i plianco — kHt*h- 

the notice or hearing requirement of t ii io Act, — the ager.oy — ea-y 

proooed to adopt ouch a rule upon — filing with fe4*e Secretary 

of State. 

(Ch. 127, new par. 1005.01) 

Sec. 5.01 . General ru l emaking. ) In all rulemaking t o 

which Section 5.0 2 or 5.03 do e s not apply, each agency shall : 

(a) give at least " 5 days' notice of its intended actio n 

to the qeperal publi c. Th is fir st notice pe riod shal l 

c oanence on the f irst day th e notice appear s in t he Illinois 
Register. The first notice shall in clude a teit o f the 



127 
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PA81-1044 



321 



UB2226 Enrolled 



LRB8103468«Hd-vB 



p roposed ru lp. o r the old and new m a terials of a proposed 

a mendnent , or the te xt of the provision to be repealed ; the 

s pecific stat u tory c itation upon which the proposed rule, th e 
proposed ane ndce ct to a rule or the proposed repeal of a rule 
is ba s ed and is authorized; a comp lete description of th e 

subjects and issues involved; and the time, place an d manne r 

in vhich intereste d persons pay pres ent th eir views and 

c omments c oncerning the intended action. 

During the first notice period, th e agency shall provid e 
all inter ested persons wHo submit a reguest to connent withi n 
the first It days of the notice period reasonable opportunit y 
to subait data, views, arguments or consents, which nay, i n 
the discretion of the agency, be submitted either orally o r 

in w riting or both. The notice pu blished in the Illinoi s 

R egister shall indicate the manner selected by the agency fo r 
such submissions. The agency shall cons id er all submission s 



(b) prov ide up to 15 days additional noti ce of it s 

intended action to the Joint Committe e on Administrativ e 

Ru les. The second notice period shall conaence on the da y 

written notice is receiv ed by t he Joint Coa mittee. and shal l 
expire *45 da ys thereafter unle ss prior to that tine the 
agency sh all have r ece iv ed a statement of objection fro m th e 
Joint Coanittee. or notification froa the Joint Com m itte e 
t hat no objection will be issued. The written not i ce to the 
Joint Committee shall include the text and location of any 
chang e s made to the proposed rule during, the first notic e 
period , and. if written request has been made by the Join t 

Committee within 30 days after initial notice appears i n the 

Ill inois Registe r pursuant to Paragraph (a) of this Section , 
shall include a n analysis of the econo m ic and budgetar y 

effect s of the proposed rule. After commencement of th e 

second notice period, no substantive chang e nay be made to a 
propos ed rule unless it is made in response to an obje ction 
o r suggestion of the Joint Co m mittee. 



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frlr 



322 



PA81-1044 



HD2-226 Enrolled 



-5- 



LRB8103«68HHdvB 



9 
10 

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Una- 



(c) after t he expi ration of M5 da y s, after notificatio n 
froa the Joint Con nittee that no objection will be iss ued, or 

a fter response by the agenc y to a statement of ob jections 

issue d by the Joint Con^ittee, whichever is applicable, the 
agency shall fi l e. pursuant to Section 6 of this Act , a 
certified copy of each rule, modification, or repeal of an y 
rule adopted by it. which shall be published in the Illinoi s 
R egist er. E ac« rule hereafter adopted under this Section is 
effective upon filing, unless a later e ffect ive date i s 
required by statute or is' specif i ed in the rule. 

(Ch. 127, new par. 1005.02) 

Sec. 5.02. Eaergency ruleoalcipg. ) "Emergency" Beans th e 
existence of any situation which any agency finds reasonably 
constitute s a threat to the public interest, safety o r 



agency finds that 



; rgenc -± exist s 



ij ch requires adoption 



rule upon fewer days than is 



required by S e ction 5.01 , and states in writing its reason s 

for t hat f inding, t he agency nay adopt an eaerqency rule 

without prior notice or hearing. upon filing a noti c e of 
eaerqency rule making with the Secretary of State pursu a nt to 
S ection 6.01 of this Act. Such notice shall include the tex t 
of the emergency rule and sh al l be published in the Illinoi s 
Register. Subject to applicable const i tutional or sta tutor y 
p rovisions, an emergency rule becones effective inmed iatel y 
upon filing pursuant to Section 6, or at a stated date les s 

than 10 days thereafter. The agency's finding and _a 

stateaent of the specific reasons therefor shall be file d 
with the rule. The agency shall take reasonable an d 
appropriate oeasur es to oake eaergency rules known t o th e 
persons who nay be affected by then. 

An eaerge n cy rule may be effect i ve for a period of no t 
lon ge r than 150 days, hut the agency's authority to adopt a n 

i denti c al r ule u nder Section 5.01 of this Act is no t 

precluded. No emergency rule cay be adopted nore than once 
in any 24 p o nth period. Two or pore eneraqne y rules having 



19U 
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196 

19? 

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203 
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209 
210 
211 
212 

213 
214 
215 
216 
217 
216 

219 

220 

222 
223 
22D 
225 
226 



PA81-1044 



323 



HB2226 Enrolled 



LRB8 103463.1 EidvD 



2C 
21 
22 
23 
21 
25 
26 
27 

28 
29 
30 
31 
32 
3d 



subr.t an*ially t he sane purpose aud effe ct sh all be deemed to 
be a single rule fo r purpo s es of this Section. 

(Ch. 127, new par. 1005.03) 

Sec. 5.03. Peremptory rulein a king. ) "Perempto ry 

rulemaking" means a ny rulemaking wh i ch is required as a 

result of federal law, federal rul e s and regulations. o r an 

order of a c ourt, under condit ions. which preclude compli ance 

with general rulemaking requirements imposed by Section 5.01 
and which preclude the exercise of di s cretion by the agency 
as to the content of the rule it is required to adopt. Wher e 
any agency finds t hat perenptory rulemaking is necessary and 



states in writing its reasons for that finding, the agency 
nay adopt perenptory rnleaaking upon filing a not i ce o f 
rulemaking with the Secretary of State pursuant to Section 
6.01 of this Act. Such notice shall be published in the 
Illinois Register. A rule adopted under the peremptor y 
ruleoa ki ng provisions of this Section becomes effectiv e 

immediatel y upon filing with the Secretary of St a te and in 

the agency's principal office, or at a date re g aire d or 

author i zed b y t he relevant federal law, federal rules an d 



regulations . 



>r court order. 



stated 



»tice of 



r ulemaking. Notice of rulemaking under this Section shall b e 
published in the Illinois Register, and shall specificall y 
refer to the appro priate state or fed e ral court order o r 
federa l law, rules and regulations, and shall be in such for m 
as th e Secretary of State m ay reasonably prescribe by rule . 
T he agency snail file the notice of peremptory rulemakin g 
within 30 days after a change jp rules is requ ired. 

(Ch. 127, par. 1006) 

Sec. 6. Filing aud Taking — Effect of Bules. ) (a) Each 
agency shall file in the office of the Secretary of State and 
in the agency's principal office a certified copy of each 
rule and oodification or repeal of any rule adopted by it, 
including all rules existing on the date this Act becones 
applicable to the agency other than rules already so filed. 



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324 



PA81-1044 



HB2"226 Enrolled 



LR08 103U6BaKd-vB 



1 The Secretary of State and the agency shall each keep a 

2 percanent register of the rules open to public inspection. 

5 <: with 



33 



3D 



otf tif io a — copi e s a-s — aro not in su i isUnt ial c -ss 

reasonable rules proscribed by hia con o < 

<b) Concurrent with the^filing of any materiel pursuant 
to this Section A-frfc, the filing agency shall subait to the 
Secretary of State for publication in the next available 
issue of the Illinois Begister a notice of rulemaking which 
presents: 

1. if the material is a ne« rule, the full text of the 
new rule; or 

2. if the naterial is an amendment to a rule or rules, 
the full text of the rule or rules as amended; or 

3. if the naterial is a repealer, such notice of repeal 
shall be published. 



•,.->- 



rulo hereafter adopted 



eff e ctiv e 4-0 doyc 



af t er — fili n g! er.cept that; 

-4-. fcf- — & s quired by statute or specified in the rule 

later — date i s tito effective date; 



•3-. &tH* 


3"°* 




— applicable- 


— conctife- 


a-tioa&A — e* statutory 


















. 
















thereaf tor , 


if the 


agenGj -finflo that tk 


is of focti»o — date — ie 


ncGoosary — bocai> 


=.<-- 


— »» — OBorqon 


&f* £fee— 


agency's findiiij and a 
















coast 


ires to 


aako 


oaor gency — r ul 


20 known— 


t& the persons who Day 



(Ch. 127, new par. 1006.01) 

S ec. 6.01. Forn and publicati on of notices.) Th e 
Secreta ry of Sta t e nay prescribe reas on able rules concernin g 
the foria of documents to be fi led w ith hin, and nay refuse to 



26 1 
262 
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265 

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266 
269 

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277 
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2 a 7' 
288 

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2 90 
291 

202 

294 

296 

297 

298 



PA8 1-1044 



325 



HB2226 Enrolled 



LBB8103«6aHBu-vB 



1 
2 
3 
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8 
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12 
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acce pt for fi l ing such certified copies as are not in 299 
coo p liance w it h such rules. In addition, the Secretary o f 

Stat e sha l l pu bli sh and oaintain the Illi nois Regist er and 300 

pay proscr ibe rea sonable rules sett ing for th the na nn er in 301 

which agencies shall subnit notices required by this Act for 302 

publication in the Illinois Register. The Illinois Registe r 303 

shall be "published at least once 'each, week on the saa e Jay ,394 

unless such day is an official State holiday in which cas e 305 

the Illinois Register shall be publis h ed o n t he next 

following business day and sent to subscribers who subscrib e 306 

for the publication with the Secretary of State. Th e 307 
Secretary of State nay charge a subscription price t o 

subscribers that covers nailing and pub l ication costs. 308 

Notwithsta n ding any other provision of this Act. if an 310 

agency proposes or adopts federal rules or portions thereof. 311 

the reguireeent that the full text thereof be filed shall b e 312 

satisfied by filing with the applicable notice a photographic 313 

or other reproduction of such rules, or a stateoent that th e 314 

agency pro po ses to adopt or is adopting such rules with a 

citation to th e F ederal Register or Code of Federa l 315 

Regulations where the text appears. If an agency proposes or 316 

adopts as rules the standards or guidelines, or portions 317 

thereo f. of any professional, trade or other association or 

entity, the requirenent that the full text thereof be file d 318 

shall he satisfied by filing with the applicable notice a 319 

photographic or other reproduction of such standard s or 320 

guidelines. 

(Ch. 127, par. 1007.0") 322 

Sec. Sec. 7.0". The JoiDt Conaittee shall have the 324 
following powers under this Act: 

1. The Joint Coonittee shall have advisory powers only 326 
relating to its function, which shall be the promotion of 327 
adequate and proper rules by agencies and an understanding on 328 
the part of the public respecting such rules. 

2. The Joint Coaaittee nay undertake studies and 330 



326 



PA81-1044 



HB2226 Enrolled 



-9- 



LBB8103ii6tiflHdvB 



3* 



investigations concerning rule-making and agency rules. 331 

3. The Joint Committee shall monitor and investigate 333 

compliance of agencies with the provisions of this Act, make 33<4 

periodic investigations of the rule— making activities of all 335 

agencies, and evaluate and report on all rules in terns of 33fc 

their propriety, legal adequacy, relation to statutory 337 

authorization, economic impact en those effected by the rule 

and public policy. 338 

1. Hearings and investigations conducted by the Joint 310 

Committee under this Act may be held at such times and places 311 

within the State as such Comaittee deems necessary; 342 

5. The Joint Committee shall have the authority to 314 

reguest from any agency an analysis of the: 315 

a. effect of a new rule, amendment or repealer; 317 

b. agency*s evaluation of the submissions presented to 319 
the agency pursuant to Section 5.01 -5 of this Act; 350 

c. a description of any modifications from the initially 352 
published proposal made in the finally accepted version of 353 
the intended rule, acendment or repealer; and 351 

d. the agency's justification and rationale for the 356 
intended rule, amendment or repealer. 357 

{Ch. 127, par. 1007.05) 359 

Sec. 7.05. The Joint Committee shall have the following 361 

responsibilities under this Act: 362 

1. The Joint Committee shall conduct a systematic ana 361 
continuing study of the rules and rule oaking process of all 365 
state agencies, including those agencies not covered in 366 
Section 3.01 of this Act, for the purpose of improving the 367 
rule Baking process, reducing the number and bulk of rules, 368 
removing redundancies and unnecessary repetitions and 369 
correcting grammatical, typographical and like errors not 
affecting the construction or iceaning of the rules, and it 370 
snail make recommendations to the appropriate affected 371 
agency. 

2. The Joint Committee shall review the statutory 373 



PA81-1044 



327 



HB2226 Enrolled 



-10- 



LB38103u6UnMvB 



authority on which any administrative rule is based. 

3. The Joint Committee shall maintain a review prolan, 
to study the impact of legislative changes, court rulings and 
administrative action on agency rules and rule making. 

«- T he J oint Committee s h all suggest rulenakjpq of a n 

age ncy whenever the Joint Committee, in the course o f it s 
review of th e' agency's rules under this Act, determines tha t 

t_he ag ency's rules are incomplete, inconsistent or otherwis e 

deficient. 

(Ch. 127, par. 1007.06) 

Sec. 7.06. (a) The Joint Coanittee may eiamine any 
proposed rule, amendment to a rule, and repeal of a rule for 
the purpose of determining whether the proposed rule, 
amendment to a role, or repeal of a rule is within the 
statutory 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 was is given prior to its adoption, 
aaendaent, or repeal and was sufficient to give adequate 
notice of the purpose and effect of the rule, amendment or 
repeal. 

(b) If the Joint Committee objects to a proposed 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 U5 days after notice of proposed 
rulemaking -a — proposed rule/ — oncndBcnt to a rule or repeal of 
a rule has been received by the Joint Committee publiohod — i* 
4th* — Illinois — Regiotcr , the Joint Committee certifies its 
objections to the issuing agency then that agency shall 
within 90 Cays of receipt of the statement of objection: 

1. modify the proposed rule, amendment or repealer to 
meet the Joint Committee's objections; 

2. withdraw the proposed rule, amendment, or repealer in 
its entirety, or; 

3. refuse to Bodify or withdraw the proposed rule. 



37q 
376 

37 7 

37a 

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381 
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383 

385 
367 
3Bb 
389 
390 

39 i 
392 
393 
39^ 

39C 
39 7 
39S 
399 
H01 
H03 

tou 

uos 

106 



409 

fill 

Q1U 



&T* 



328 



PA81-10A4 



HB2226 Enrolled 



LRB8103«68nBdvB 



1 
2 
3 
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5 
6 

7 - 

e 

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10 
11 
12 
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23 
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amendaent or repealer. 115 

(d) If an agency elects to modify a proposed rule, 117 
amendment or repealer to meet the Joint Coaoittee* s 11 8 
objections, it shall make or . ly such nodi tica tions as are 119 
necessary to meet the objections and shall resubmit the rule, 120 
amendment or repealer to the Joint Committee. In addition . 

the agency shall subait a notice of its election to modixyr 121 

the a proposed rule, amendment or repealer to meet the Joint 122 

CoDDittee's objections to the Secretary of State A which 123 

notice shall be published in the first available issue of the 125 

Illinois Register, but the agency shall not be reguired to 126 

conduct a public hearing. If the Joint Coanittee determines 127 

that the nod if ications do not remedy the Joint Committee' s 128 

objections. it shall so notify the agency in writing and 129 

shall submit a copy of such notificati o n to the Secretary o f 130 
State for publication in the next available issue of the 

Illinois Register. In addition, the Joint Committee pay 131 

r ecommend le g islative action as provided in subsection (g ) 132 
for agency refusals. 

(e) If an agency elects to withdraw a proposed rule, 131 
amendment or repealer as a result of the Joint Comaittee' s 135 
objections, it shall notify the Joint Committee, in writing, 136 
of its election and shall submit a notice of the withdrawal 137 
to the Secretary of State which shall be published in the 138 
next available issue of the Illinois Register. 

(f) Failure of an agency to respond to the Joint 110 
Comaittee's objections to a proposed rule, amendaent or 111 
repealer, within the time prescribed in subsection (c) shall 112 
constitute withdrawal of the proposed rule. amendment o r 113 
repealer ^a-lein its entirety. The Joint Coacittee shall 
submit a notice to that effect to the Secretary of State 115 
which shall be published in the next available issue of the 
Illinois Register and the Secretary of State shall refuse to 116 
accept for filing a certified copy of such proposed rule, 117 
aaendment or repealer under the provisions of Section 6. 118 



PA81-1044 



329 



UB2226 Enrolled 



-12- 



LBB010346t>;iR-dvD 



1 (g) If an agency refuses to modify or withdraw the 450 

2 proposed rule, amendment or repealer so as to reoedy an 451 

3 objection stated by the Joint Committee , it shall noti f y th e 452 
* Joint Connittee in writing of its refusal and shall subnit a 453 

5 noti ce of refusal t o the Secretary of State which shall b e 

6 published in the next available issue of the Illi nois 4 54 

7 ' Register. a-»4 Tf tiie Joint Committee decides to tccoBBtnd 455 

8 legislative action i n response to an agency refusal , then the 457 

9 Joint Connittee shall have drafted and have introduced into 

10 either house of the General Assembly appropriate legislation 458 

11 to implement the recommendations of the Joint Committee. 459 

12 (h) No rule, amendment or repeal of a rule shall be 461 

13 accepted by the Secretary of State for filing under Sectio n 462 

14 6, if such rulemaking is s u bject to this Section, until afte r 463 

15 t he agency has responded to the objections of the J o int 464 

16 Committee as prov i ded in this Section. 

(Ch. 127, par. 1007.07) 466 

17 Sec. 7.07. (a) The Joint Committee nay examine any rule 468 

18 for the purpose of determining whether the rule is within the 469 

19 statutory authority upon which it is based, and whether the 470 

20 rule is in proper form. 

21 (b) if the Joint Committee object's to a rule, it shall, 472 

22 within 5 days of the objection, certify the fact to the 473 

23 adopting agency and include within the certification a 474 

24 statement of its specific objections. 

25 (c) Hithin 90 days of receipt of the certification, the 476 

26 agency shall: 

27 1. Notify the Joint Committee that it has elected to 478 
23 amend the rule to Deet the Joint Committee's objection; 479 

29 2. Notify the Joint Committee that it has elected to 481 

30 repeal the rule, or; 

31 3. Notify the Joint Committee that it refuses to aDend 483 

32 or repeal the rule. 

33 (d) If the agency elects to aocnd a rule to meet the 485 
3<J Joint Committee's objections, it shall notify the Joint 486 



330 



PA81-1044 



HB2226 Enrolled 



13- 



LHB81C3468MRdvB 



Committee in writing and shall initiate rule— making 
procedures for that purpose by giving notice as required by 
Section 5 of this Act. 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 result of 
the Joint Committee objections, it shall notify 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. 

(£) 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^ it 

shall notify th e Joint Committee in writing of its refusa l 

and shall submit a notice of refusal to the Secreta r y of 



22 
23 
24 
25 

26. 
27 
28 
29 
30 " 

V- 



State which shal 1 be published in the next availab le i s sue of 

the Illinois Register. a*d If the Joint Committee., in 

response to an agency refusal, 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 Committee. 




Speaker", House of Representatives 
Prcsidcntj of (£e) Senate 



U8S 

191 

492 
493. 

49« 

it 9 6 
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498 

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PA81-1044 



331 



2) HOUSE BILL 1196 (PUBLIC ACT 81-1035) 

Approved September 24, 1979 
Effective January 1, 1980 



111)1196' Enrol led 



Illinois Adninistrati 
22. 1975, as amended. 



LRi381050b9JSjp 

Sections 5, 7.04 and 7.08 of "The 
1'roccdure Act", approved September 



4 Be it enacted b y t he People of the State of Illinois, 

5 represe nted in the Gen e ral Assenbly. 



A'- 




Section 1. Sections 5, 7.04 and 7.08 of "The Illinois 60 

Administrative Procedure Act", approved September 22, 1975, 61 
as amended, are amended to read as follows: 

(Ch. 127, par. 1005) 63 

Sec. 5. Procedure for Rule-Making . ) (a) Prior to the 65 

adoption, ar.iendnent or repeal of any rule, each agency shall: 66 

1. give at least 45 days' notice of its intended action. 68 

This notice period shall commence on the first day the notice 69 

appears in the Illinois Register. The notice shall include a 70 

text of the proposed rule, or the old and new materials of a 71 

proposed amendrrerst , or the text of the provision to be 72 

repealed; the specific statutory citation upon which the 73 
proposed rule, the proposed amendment to a rule or the 

proposed repeal of a rule is based and is authorized, a 74 

description of the subjects and issues involved; and the 76 

time, place and manner in whicli interested persons may 77 

present their views and comments concerning the intended 73 
action. In addition, the Secretary of State shall publish 

and maintain the Illinois Register and' set forth the manner 79 

in which agencies shall submit the notices required by this 80 

Act to hii\ for publication in the Illinois Register. The 81 

Illinois Register shall be published at least once each wee* 82 

on the same day unless such day is an official State holiday 83 

in which case the Illinois Register shall be published on the 04 
next following business day and sent to subscribers who 

subscribe for the publication with the Secretary of State. 85 

The Secretary of State may charje a subscription price to 86 

subscribers that covers mailing and publication costs; 87 



\ VI 



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LKB810S0b9JSjp 






2. afford all interested persons who submit a request 
within 14 days atter notice of the proposed change is 
published in the Illinois Hegister reasonable 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 
Kegister of the Secretary of State -^hall ir.dicate the manner 
selected by -the agency for such submissions. The agency 
shall consider fully all submissions respecting the proposed 
rule. 

(b) If any agency finds that an emergency, reasonably 
constituting a threat to the public interest, safety or 
welfare, requires adoption of a rule upon fewer than 45 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 15C 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) Mo action by any agency to adopt, amend or repeal a 
rule after this Act has become applicable to the agency shall 
be valid unless tasen in compliance 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 



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1 proceed to adopt such a rule upon filing with the Secretary 

2 of State. 

(Ch. 127, par. 1007.04) 

3 Sec. 7.04. The Joint Committee shall have the following 

4 powers under this Act: 

5 1. The Joint Committee shall nave advisory powers only 

6 relatinq to • its function, which shali be the promotion of 

7 adequate and proper rules by agencies and an understanding on 

8 the part of the public respecting such rules. 

9 2. The Joint Committee may undertake studies and 

10 investigations concerning rule-making and agency rules. 

11 3. The Joint Committee shall monitor and investigate 

12 conpliance of agencies with the provisions of this Act, make 

13 periodic investigations of the rule-making activities of all 

14 agencies, and evaluate and report on all rules in terms of 

15 their propriety, legal adequacy, relation to statutory 
lb authorization, economic and budgetary effects eceronic-tnpaet 

17 on-thoac-fif f ec ted-by-the-roie and public policy. 

18 4. Hearings and investigations conducted by the Joint 

19 Committee under this Act may be held at such times and places 

20 within the State as such Committee deems necessary; 

21 5. The Joint Committee shall have the authority to 

22 request from any agency ati analysis of the: 

23 a. effect of a new rule, amendment or repealer^ 

24 including any direct economic effect o n the persons regulated 



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rule ; 


any anticipated effect on the proposing aqency's 


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budget 


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the budgets of other State agencies; and any 



2 7 antici pated effects on State revenues ; 

28 b. agency's evaluation of the submissions presented to 

29 the agency pursuant to Section 5 of this Act; 

30 c. a description of any modifications from the initially 

31 puolished proposal made in the finally accepted version of 

32 the intended rule, amendment or repealer; and 

33 d. the agency's justification and rationale for the 
3.4 intended rule, amendment or repealer. 

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(Ch. 127, par. 1007.00) 

Sec. 7.08. (a) The Joint Committee shall evaluate the 
ruler, 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 schedule the joint Committee 
shall group rules by specified areas to assure the evaluation 
of similar rules at the same tine. Such schedule shall 
include at least the following categories, 
human resources; 
law enforcement; 
energy; 
envi ronnent ; 
natural resources; 
t ransportat ion; 
public utilities; 
consumer protection; 
licensing laws; 
regulation of occupations; 
labor laws; 
business regulation, 
financial institutions; and 
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 reforms 
which effect rules or rule naming; 

2. merger, modification, establishment or abolition of 
regulations; 

3. eliminating or phasing out outdated, overlapping or 
conflicting regulatory jurisdictions or requirements of 
general applicability; and 

4. Economic and budgetary effect s i-ncreosing — eee 
pact. 



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Effective January 1, 1980 



1 AN ACT to add Section 4.02 to "The Illinois 47 

2 Administrative Procedure Act", approved September 22, 1975. 48 

3 as amended. 50 

4 Be it enacted by the People of the State of Illinois. 53 

5 represented in the General Assembly: 54 




Section 1. Section 4.02 is added to "The Illinois 56 

Administrative Procedure Act", approved September 22. 1975. 57 

as amended, the added Section to read as follows: 58 

(Ch. 127. new par. 1004.02) 60 

Sec. 4.02. Each rule which implements a discretionary 61 

power to be exercised by an agency shall include the 62 

standards by which the agency shall exe r cise the power. Such 63 
standards shall be stated as precisely and clearly as 

practicable under the conditions. to inform fully those 64 
persons affected. 



ident\of t^e/Se 




\j^)JiJ^C^uu^ 



Speaker. House of Representatives 



CERTIFIED 

lu*.. '9*^ AD. 
the f>cceptp»^e of the GoncraJ AsMMbJy :\T 
is to my fspeHulc recommit) 



ihis C> t* day of 




336 



APPENDIX C 

OPERATIONAL RULES OF THE JOINT COMMITTEE 
AS EFFECTIVE JANUARY 1, 1980 



Pages 



Rule One: General Policies 338 

Rule Two: Review of Proposed Rulemaking 339-346 

Rule Three: Review of Emergency Rulemaking 347-350 

Rule Four: Review of Peremptory Rulemaking 351-355 

Rule Five: Five-Year Evaluation of All Existing Rules 356-365 

Rule Six: Complaint Review of Existing Rules 366-369 

Illustrations 370-378 



337 



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 all 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 all 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 the Secretary of State has substantial responsibility under the 
Illinois Administrative Procedure Act, especially for publication of the Illinois 
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 administration of rulemaking procedures. The 
procedures followed by the Joint Committee will be coordinated with the "Rules on 
Rules" adopted by the Secretary of State. 

Section 1.1.04: As used in these rules, unless the context otherwise clearly requires: 

1. "Act" means the Illinois Administrative Procedure Act, 111. Rev. Stat. 1977, ch. 
127, par. 1001 et seq., as amended. 

2. "Joint Committee" means the Joint Committee on Administrative Rules, 
created by Section 7.02(a) of the Act. 

3. "Executive Director" means the Executive Director of the Joint Committee. 

Filed: ^d£&£ 8 1979 Effective: DEC 10 1979 

Amended 

NOV 281979 

338 



RULE TWO: REVIEW OF PROPOSED RULEMAKING 



Section 1.2.01: As used in this rule: 

1. "First notice" means the notice required to be given to the general public by 
agencies pursuant to Section 5.01(a) of the Act. 

2. "First notice period" means that period of time, not less than 45 days, 
commencing on the day the first notice appears in the Illinois Register . 

3. "Second notice" means the notice required to be given by agencier to the Joint 
Committee pursuant to Section 5.01(b) of the Act, and containing the 
information required by Section L2..05 of this rule. 

4. "Second notice period" means that period of time, not more than 45 days, 
following the first notice period, and commencing on the day the second notice 
is received by the Joint Committee. 

Section 1.2.02: If, within five working days after the first notice period commences, the 
proposing agency requests in writing that the Joint Committee conduct a 
preliminary review of the agency's proposed rulemaking, the Joint Committee staff 
will review the proposed rulemaking, including the notice of proposed rulemaking 
and the text of the rulemaking. The Joint Committee staff may pose questions or 
problems discovered in reviewing the proposed rulemaking, and communicate or 
meet with appropriate agency personnel to discuss the proposed rulemaking. This 
review will be based on the criteria outlined in Section 1.2.09; however, such review 
is independent of, and shall not relieve the proposing agency of its responsibilities 
under, the review conducted pursuant to Sections 1.2.05 and 1.2.07. 

Section 1.2.03: In addition, within 30 days after the commencement of the first notice 
period, the Joint Committee, through the Executive Director, may request from the 
proposing agency an analysis of the economic and budgetary effects of the proposed 



Amended 

NOV 2 81979 



339 



rulemaking. An analysis will be requested unless it is reasonably evident from the 
information provided by the agency in the first notice, and from other information 
available to the Joint Committee, that the economic and budgetary effects of the 
proposed rulemaking in the areas outlined in -Section 1.2.04 will not be substantial. 
The request for such analysis will be in writing. 

Section 1.2.04: If the Joint Committee requests an analysis of the economic and 
budgetary effects of a proposed rulemaking, the affected agency shall submit such 
analysis in writing to the Joint Committee as part of the second notice. The 
analysis shall be in the form shown in Illustration I, including a discussion of the 
following factors: 

1. Any direct economic effect on the persons regulated by the rule. 

2. Any anticipated effect on the proposing agency^s budget. 

3. Any anticipated effect on the budgets of other State agencies. 

4. Any anticipated effect on State revenue. 

5. Any other considerations relevant to the economic and budgetary effects of 
the proposed rulemaking. 

6. The estimated effect, in dollars, of each of the above factors. 

Section 1.2.05: The second notice period shall commence on the day written notice is 
received by the Joint Committee, and shall expire 45 days thereafter unless prior to 
that time the agency shall have received a statement of objection from the Joint 
Committee, or notification from the Joint Committee that no objection will be 
issued. 

The second notice shall contain the following information: 



Amended 

NOV 2 8 1979 

340 Rule Two 



1. Agency name. 

2. Title of proposed rulemaking. 

3. Date of the first notice. 

4. Text and location of any changes made to the proposed rulemaking during the 
first notice period. 

5. If requested by the Joint Committee pursuant to Section 1.2.03, an analysis of 
the economic and budgetary effects of the proposed rulemaking. 

6. Name of specific agency personnel who will respond to Joint Committee 
questions regarding the proposed rulemaking. 

The second notice should be clearly identified as such, and shall be 
submitted to the Executive Director, Joint Committee on Administrative Rules, 520 
South Second Street, Suite 100, Springfield, Illinois 62706. 

Within two working days after the receipt by the Joint Committee of a 
second notice, the Joint Committee will notify the Office of the Secretary of State 
and the proposing agency of the date upon which the second notice period 
commenced. Notices which do not contain all of the information required by this 
Section and by Section 5.01(b) of the Act will not be accepted by the Joint 
Committee, and any agency submitting such notice will be informed in writing of 
the specific reason or reasons why the notice was not accepted. 

Section 1.2.06: Along with the second notice the agency should also submit the following 
information, in writing, to the Joint Committee: 

1. Agency^s evaluation of the submissions presented to the agency by interested 
persons during the first notice period (but not including any submission 



Amended 

NOV 2 8 1979 



Rule Two 341 



presented to the agency by the Joint Committee pursuant to Section 1.2.02) 
including: 

a. The names and addresses of all individuals or groups making a written 
submission, or requesting the opportunity to make a written submission. 

b. A list of all specific criticisms or comments raised in the submissions. 

c. The agency's evaluation of each of the specific criticisms or comments 
as related to the criteria outlined in Section 1.2.09. 

d. A statement that the agency has considered all submissions received 
during the first notice period. 

2. An analysis of the anticipated effects of the proposed rulemaking, including: 

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. Any other anticipated effects. 

3. A justification and rationale for the proposed rulemaking, including: 

a. Any changes in statutory language requiring the proposed rulemaking. 

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. 



Amended 

NOV 2 81979 

342 Rule Two 



d. Relationship to any relevant federal rules, regulations, or funding 
requirements. 

e. Any other relevant considerations. 



Section 1.2.07: The Joint Committee staff will review each notice submitted pursuant to 
Section 1.2.05, and the information submitted pursuant to Section 1.2.06. The staff 
review will be based on the criteria outlined in Section 1.2.09. The staff will report 
the results of its review to the Joint Committee, and may develop a 
recommendation for action, including the issuance of an objection to the proposed 
rulemaking or the development of legislation by the Joint Committee. Such 
recommendation shall be advisory only and shall not limit the Joint Committee's 
discretion to take different or additional appropriate action. To facilitate full and 
open consideration of proposed rulemaking, the staff of the Joint Committee will 
make reasonable efforts to ensure that the proposing agency is aware of the 
substance of such recommendations. 

Section 1.2.08: The Joint Committee will hold full and adequate hearings on proposed 
rulemaking. Oral testimony will be taken from appropriate personnel of the 
proposing agency. Written comments will be considered from individuals or groups 
affected by the rules as relevant to the criteria outlined in Section 1.2.09. Such 
written comments should be sent to the Executive 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. Unless the 
individual or group submitting the comments expressly requests otherwise, the Joint 
Committee shall provide a copy of such comments to the proposing agency. The 
tentative agenda for each hearing will be published as soon as practicable prior to 
each hearing in the Illinois Register . 

Section 1.2.09: The Joint Committee will give major consideration to the following 
criteria in reviewing proposed rulemaking: 



Amended 

NOV 28 1979 

Rule Two 343 



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 
state budget. 

6. Clarity of the language of the proposed rulemaking for understanding by the 
affected public. 

7. Sufficient completeness and clarity to ensure 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. 

Section 1.2.10: If the Joint Committee finds that the proposed rulemaking is 
significantly deficient in relation to any of the criteria outlined in Section 1.2.09, 
the Joint Committee will object to the proposed rulemaking. If the Joint Committee 
does not make such finding, the Joint Committee will notify the proposing agency in 
writing that no objection will be issued, unless the second notice period has expired, 
" or unless the Joint Committee finds, at the time of the hearing, that additional 
information is necessary in order for the Joint Committee to carry out its functions 
pursuant to Sections 7.04 and 7.06 of the Act. Such notification will be mailed to 
the proposing agency within two working days following the day of the Joint 
Committee hearing at which the proposed rulemaking is considered. 

Section 1.2.11: If the Joint Committee objects to any proposed rulemaking, 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 II. The certification to the agency shall include a statement of 
specific objections of the Joint Committee to the proposed rulemaking. 

Amended 

NOV 2 8197 

344 Rule Two 



Each statement of specific objections to a proposed rulemaking 
issued by the Joint Committee shall also be submitted as soon as practicable to the 
Secretary of State for publication in the Illinois Register . 

Section 1.2.12: The proposing agency should respond to an objection within 90 days of the 
receipt of the statement of specific objections. The agency response should address 
each of the specific objections in the statement of objection. The response should 
be concise, but complete, clearly stating the agency's response and rationale for 
such response. The response should be made in the manner shown in Illustration HI. 

Section 1.2.13: 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 objections stated 
by the Joint Committee in the statement of objection. The complete text of 
the proposed rulemaking including all modifications 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 Committee or other 
reasons 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 refusing to modify or 
withdraw the proposed rulemaking, addressing each of the specific objections 
stated by the Joint Committee. 

Section 1.2.14: If the agency elects to modify a proposed rulemaking to meet the 
specific objections of the Joint Committee, the Joint Committee will review the 
agency response. If the Joint Committee determines that the modifications do not 
remedy the specific objections, it will so notify the agency and will submit a copy of 
such notification to the Secretary of State for publication in the next available issue 
of the Illinois Register . The notification will contain a statement of the specific 
reasons why the modifications do not remedy the specific objections. 



Rule Two 345 



NOV 2 81979 



Section 1.2.15: If the proposing agency fails to respond to an objection within 90 days 
from receipt of the certification of an objection and statement of specific objections 
from the Joint Committee, the rulemaking will be considered automatically 
withdrawn by operation of law. Following the expiration of the 90 day period the 
Executive Director shall send a notice to the Secretary of State stating that the 
proposing agency has failed to respond to the objection by the Joint Committee 
within the 90 days, and that the rulemaking has been withdrawn by operation of law. 

Section 1.2.16: After commencement of the second notice period, no substantive change 
may be made to a proposed rule unless it is made in response to an objection or 
suggestion of the Joint Committee- 
Section 1.2.17: The Joint Committee may develop legislation to remedy deficiencies or 
problems, 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. 



Filed: -BEX 2 8 1979 Effective: DEC 1 1979 



Amended 

NOV 2 81979 



346 Rule Two 



RULE THREE: REVIEW OF EMERGENCY RULEMAKING 



Section 1.3.01: The Joint Committee recognizes that situations occur which require 
immediate action and in these instances emergency rules must be adopted pursuant 
to Section 5.02 of the Act. However, the Joint Committee believes that the notice 
and comment period is an integral part of agency rulemaking and, therefore, the use 
of the emergency rulemaking process must be strictly limited to situations 
reasonably constituting a threat to the public interest, safety or welfare, and 
requiring the adoption of rules upon fewer days* notice than is required by Section 5.01 
of the Act. 

In accordance with its authority under Section 7.07 of the Illinois 
Administrative Procedure Act to examine any rule for the purposes of determining 
whether the rule is within the statutory authority upon which it is based, and whether 
the rule is in proper form ? the Joint Committee will review emergency rulemaking to 
ensure that the use of the process is limited to only those situations specified in 
Section 5.02 of the Act. The specific criteria to be used in the review are stated in 
Sections 1.3.04 and 1.3.05 of this rule. 

Section 1.3.02: As used in this rule, "Emergency rulemaking" means a rule adopted 
pursuant to Section 5.02 of the Act. 

Section 1.3.03: Based on the criteria outlined in Sections 1.3.04 and 1.3.05 of this rule the 
Joint Committee staff will review each emergency rulemaking. To the extent 
necessary to conduct an effective review of the emergency rulemaking, the Joint 
Committee staff will pose questions or problems discovered in reviewing the 
emergency rulemaking, and communicate or meet with appropriate agency personnel 
to discuss the emergency rulemaking. If the rule is substantially deficient in 



347 



Amended 

NOV 2 81979 



relation to any of the criteria outlined in Sections 1.3.04 and 1.3.05, staff will 
develop a recommendation for action by the Joint Committee. Such 

recommendation shall be advisory only and shall not limit the Joint Committee's 
discretion to take different or additional appropriate action. To facilitate full and 
open consideration of emergency rulemaking, the staff of the Joint Committee will 
make reasonable efforts to ensure that the agency is aware of the substance of such 
recommendation. The agency will be informed of the date of the Joint Committee 
meeting at which the emergency rulemaking will be considered. An agency 
representative will be asked to attend the hearing at which the rulemaking is 
discussed. 

Section 1.3.04: The Joint Committee will consider the following criterion in reviewing 
emergency rulemaking: 

The extent to which the agency's explanation of the need for 
emergency rulemaking demonstrates that the emergency 
rulemaking is in compliance with Section 5.02 of the Act in that it 
describes a situation reasonably constituting a threat to the public 
interest, safety or welfare which requires adoption of a rule upon 
fewer days* notice than is required by Section 5.01 of the Act. 

Section 1.3.05: If the emergency rulemaking is determined to be in compliance with 
Section 5.02 of the Act, the Joint Committee will consider the following criteria in 
reviewing emergency rulemaking: 

1. Legal authority for the action taken in the emergency rulemaking. 

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

3. The extent to which the agency has explained its justification and rationale for 
not complying with the notice and hearing requirements of the Act. 



Amended 

NOV 2 81979 

348 R ul e Three 



4. The extent to which the emergency rulemaking is limited to rectifying the 
emergency and contains no provisions not required to meet the emergency. 

5. The extent to which the agency has taken reasonable and appropriate measures 
to make the emergency rulemaking known to the persons who may be affected 
by it. 

6. Whether an identical emergency rulemaking, or an emergency rulemaking 
having substantially the same purpose and effect, has been adopted by the 
agency within the preceding 24 months. 

Section 1.3.06: If the Joint Committee finds that the emergency rulemaking is 
significantly deficient in relation to any of the criteria outlined in Sections 1.3.04 
and 1.3.05 of this rule, the Joint Committee will object to the emergency rulemaking. 

Section 1.3.07: If the Joint Committee objects to any emergency rulemaking, the Joint 
Committee, within five working days of the objections, shall certify the fact of the 
objection to the agency. The certification to the agency shall include the specific 
objections of the Joint Committee to the emergency rulemaking. Such certifications 
shall be in the manner shown in Illustration IV. 

Section 1.3.08: The agency should respond to an objection within 90 days of the receipt of 
the statement of objection. The agency response shall address each of the specific 
objections in the statement of objection. The response should be concise, but 
complete, clearly stating the agency's response and rationale for such response. The 
response shall be made in the manner shown in Illustration IV A. 

Section 1.3.09: The agency shall respond to the Joint Committee's objection in one of 
the following manners: 

1. Modification of the emergency rulemaking to meet all specific objections 
stated by the Joint Committee in the statement of objection. The complete 

Amended 

NOV 2 8 1979 

Rule Three 349 



text of the emergency rulemaking including all modifications should be 
included in the response. Publication in the Illinois Register by the agency of 
a notice of modification of an emergency rulemaking to meet the objections of 
the Joint Committee shall not extend the effective period of the emergency 
rulemaking, nor shall such publication be deemed to constitute the adoption of 
the same or substantially similar emergency rulemaking. 

2. Repeal of the emergency rulemaking, in accordance with the procedure 
established by the Secretary of State for the repeal of an emergency rule 
before the 150-day effective period of the rule has expired, contained in 
Section 5.06 of the Secretary of State's "Rules on Rules." If responding in this 
manner, an agency should state the particular objections of the Joint 
Committee or other reasons which are the basis of the repeal. 

3. Refusal to modify or repeal the emergency rulemaking. The agency should 
present in its response its justification and rationale for refusing to modify or 
repeal the emergency rulemaking, addressing each of the specific objections 
stated by the Joint Committee. 

Section 1.3.10: Failure of an agency to respond to the Joint Committee^ statement of 
objection to an emergency rule within 90 days of the receipt of the certification of 
the objections shall constitute a refusal to modify or repeal the rule. 

Section 1.3.11: Each statement of specific objections to an emergency rulemaking issued 
by the Joint Committee shall be submitted as soon as practicable to the Secretary 
of State for publication in the Illinois Register . 



Filed: *|>gn £ Q jqyq Effective: DEC 1 1979 



Amended 

NOV 28 1979 

350 Rule Three 



RULE FOUR: REVIEW OF PEREMPTORY RULEMAKING 



Section 1.4.01: Under Sections 7.04 and 7.07 of the Act, the Joint Committee is given 
the authority to evaluate and review any rule in terms of its propriety, legal 
adequacy, form, and economic and public impact. Pursuant to the Act, the Joint 
Committee will review peremptory rulemaking using the criteria outlined in 
Sections 1.4.06 and 1.4.07 of this rule. 

Section 1.4.02: The Joint Committee recognizes that situations occur in which a federal 
law, federal rules and regulations, or a court order requires immediate action on the 
part of an agency to promulgate a specific policy. In those instances the 
peremptory rulemaking must be adopted pursuant to Section 5.03 of the Act. 
However, the Joint Committee believes that the notice and comment period is an 
integral part of the rulemaking process. It is important that an agency when 
developing its rules consider the views of persons affected by the rulemaking. It 
also is important that persons affected by the rulemaking are provided with the 
opportunity to comment. Since the peremptory rulemaking process precludes any 
opportunity for public comment or review, the Joint Committee will review the 
peremptory rulemaking to ensure that use of the process is limited only to those 
situations specified in Section 5.03 of the Act. 

Section 1.4.03: As used in this rule: 

1. "Peremptory rulemaking" means rulemaking adopted pursuant to Section 5.03 
of the Act. 

2. "Federal rules and regulations" means those federal rules and regulations 
which are or will be published in the Code of Federal Regulations. 



Amended 

NOV 2 81979 



351 



3. "Conditions which preclude the agency's compliance with the general 
rulemaking requirements imposed by Section 5.01 of the Act" includes only 
those conditions which render compliance with the notice or hearing 
requirements of the Act impossible. A federal law, federal rules and 
regulations, or court order which merely makes such compliance more difficult 
or which prescribes the content of such rulemaking shall not be deemed to 
preclude an agency from complying with the notice or hearing requirements. 
If conditions exist which constitute an emergency as defined in Section 5.02 of 
the Act, the agency may adopt the rule pursuant to such Section and will not 
be considered precluded from compliance with the notice or hearing 
requirements of the Act. 

Section 1.4.04: On the same day the notice of peremptory rulemaking is filed with the 
Secretary of State, the agency shall submit to the Joint Committee a copy of the 
court order or specific citation of the federal law or federal rules and regulations 
requiring the rulemaking action. The Joint Committee staff will review peremptory 
rulemaking based on the criteria outlined in Sections 1.4.06 and 1.4.07 of this rule. 
To the extent it is necessary to conduct an effective review of the peremptory 
rulemaking, the Joint Committee staff will pose questions or problems discovered in 
the review of the rulemaking, and communicate with appropriate agency personnel 
to discuss the rulemaking. 

Section 1.4.05: If the rulemaking is substantially deficient in relation to any of the 
criteria outlined in Sectons 1.4.06 and 1.4.07 of this rule, the staff will develop a 
recommendation for action by the Joint Committee. Such recommendation shall be 
advisory only and shall not limit the Joint Committee's discretion to take different 
or additional appropriate action. To facilitate full and open consideration of the 
peremptory rulemaking, the staff will make reasonable efforts to ensure that the 
affected agency is aware of the substance of any staff recommendations to the 
Joint Committee. The agency will be informed of the date of the Joint Committee 
hearing at which the peremptory rulemaking will be considered. An agency 
representative will be asked to attend the Joint Committee hearing at which the 
rulemaking is discussed. 

Amended 

NOV 2 819 

352 Rule Four 



Section 1.4.06: The Joint Committee will consider the following criteria in reviewing 
peremptory rulemaking. 

1. The extent to which an agency is precluded from complying with the general 
rulemaking requirements imposed by Section 5.01 of the Act, as that phrase is 
defined in Section 1.4.03(3) of this rule. 

2. The extent to which an agency is actually required to adopt rules as a direct 
result of federal law, federal rules and regulations, or court order. 

3. The extent to which the rulemaking is limited to meet only the requirements 
of the federal law, federal rules and regulations, or court order and contains 
no other rulemaking not required by the federal law, federal rules and 
regulations, or court order. 

4. The extent to which the agency has explained its justification and rationale for 
not complying with the general rulemaking requirements of the Act. 

Section 1.4.07: If the peremptory rulemaking is determined to be in compliance with 
Section 5.03 of the Act, the Joint Committee will consider the following criteria in 
reviewing the peremptory rulemaking: 

1. Compliance with the requirements of the act or acts upon which the 
rulemaking is based and is authorized. 

2. Anticipated economic effect of the rulemaking on the public and the state 
budget. 

3. Clarity of language of the rulemaking for understanding by the affected 
public. 

4. Sufficient completeness and clarity to ensure meaningful guidelines and 
standards in the exercise of agency discretion. 



Amended 

NOV 2 8 1979 



Rule Four 353 



5. Redundancies, grammatical deficiencies and technical errors in the 
rulemaking. . 

6. Conflicts between the rulemaking and state law. 

7. Compliance with the requirements of the relevant federal law, federal rules 
and regulations, or court order. 

Section 1.4.08: If the Joint Committee finds that the peremptory rulemaking is 
substantially deficient in relation to any of the criteria outlined in Sections 1.4.06 
and 1.4.07 of this rule, the Joint Committee will object to the peremptory 
rulemaking. 

Section 1.4.09: If the Joint Committee objects to any rulemaking, the Joint Committee, 
within five working days of the objection, shall certify the fact of the objection to 
the agency. The certification to the agency shall include the specific objections of 
the Joint Committee to the peremptory rulemaking. Each statement of objection to 
a peremptory rulemaking issued by the Joint Committee shall be submitted as soon 
as practicable to the Secretary of State for publication in the Illinois Register . Such 
certification shall be made in the manner shown in Illustration IV. 

Section 1.4.10: The agency should respond to an objection within 90 days of the receipt of 
the statement of objection. The agency response shall address each of the specific 
objections in the statement of objection. The response should be concise, but 
complete, clearly stating the agency's response and rationale for such response. The 
response shall be made in the manner shown in Illustration IV A. 

Section 1.4.11: The agency shall respond to the Joint Committee's objection in one of 
the following manners: 

1. Modification of the peremptory rulemaking to meet all specific objections 
stated by the Joint Committee in the statement of objection. The complete 



Amended 

NOV 2 8197 

354 Rule Four 



text of the rulemaking including all modifications should be included in the 
response. 

2. Repeal of the peremptory rulemaking. If responding in this manner, the agency 
should state the particular objections of the Joint Committee or other reasons 
which are the basis of the repeal. 

3. Refusal to modify or repeal the peremptory rulemaking. The agency should 
present in its response its justification and rationale for refusing to modify or 
repeal the rulemaking, addressing each of the specific objections stated by the 
Joint Committee. 

Section 1.4.12: If an agency elects to amend or repeal a rale as a result of the Joint 
Committee objections, it shall notify the Joint Committee, in writing, of its election 
and shall initiate rulemaking procedures for that purpose by giving notice as required 
by Section 5.01 of the Act. The Joint Committee will give priority to rulemakings 
initiated to meet an objection when setting its agenda. 

Section 1.4.13: The agency shall complete its rulemaking procedures within 180 days after 
giving notice in the Illinois Register., 

Section 1.4.14: Failure to respond to the Joint Committee^ objections to a rule within 90 
days of receipt of certification of the objection shall constitute a refusal to amend or 
repeal the rule. 

Section 1.4.15: If an agency refuses to amend or repeal a rule so as to remedy an objection 
stated by the Joint Committee, the Joint Committee may develop legislation to 

remedy deficiencies or problems, clarify legislative intent, provide statutory rule- 
making authority, or deal with other situations encountered in reviews of 
peremptory rulemaking. The Joint Committee will approve such legislation by 
majority vote and have such legislation introduced in either house of the General 
Assembly. 

Filed: Kg 2 8 1979 Effective: DEC 10 1979 

Amended 

NOV 28 1979 

R ulc Four 355 



RULE FIVE; FIVE-YEAR EVALUATION OF ALL EXISTING RULES 

Section 1.5.01: The Joint Committee on Administrative Rules will review all 

existing state agency rules on a periodic basis. Each rule of each agency will 
be evaluated during the course of this review at least once every five years. 
This review is mandated by Section 7.08 of the Illinois Administrative 
Procedure Act (111. Rev. Stats. 1977, ch. 127, par. 1007.08). 

Section 1.5.02: The five-year review of all agency rules by the Joint Committee 
pursuant to this rule is in addition to the review of proposed rules of state 
agencies or other reviews of agency rules authorized by other provisions of 
the Administrative Procedure Act. 

Section 1.5.03: To insure that the Joint Committee reviews similar rules at the 
same time, the Joint Committee will classify all existing rules into the 
following subject areas and subareas: 

1. Education and Cultural Resources 

a. Cultural Resources 

b. Elementary and Secondary Education 

c. Higher Education 

2. Financial Institutions 

3. Governmental Management 

a. Government Purchasing 

b. Records and Information Management 

c. Service Management 

4. Human Resources 

a. Corrections 

b. Mental Health 

(Filed August 1 5 S 1979 , effective. Sep timber* Z. 1979 ) 

AUG 15 197 



356 



c. Public Health 

d. Welfare 

5. Industry and Labor 

a. Business Regulations 

b. Consumer Protection 

c. Labor Laws 

d. Regulation of Occupations 

6. Law Enforcement 

7. Natural Resources 

a. Energy 

b. Environment 

c. Wildlife Management 

8. Public Utilities 

9. Transportation 

Section 1.5.04: To facilitate the conduct of the Joint Committee's review and 
further insure that similar rules are evaluated at the same time, the Joint 
Committee will, in addition to the classification under Section ^.5.03, also 
classify all existing rules into the following types of functional activities: 



1. 


Administering 


2. 


Enforcing 


3. 


Financing 


4. 


Informing 


5. 


Permitting and Licensing 


6, 


Planning 


7. 


Regulating 


8. 


Servicing 



Section 1.5.05: The Joint Committee will conduct this periodic evaluation 

according to the following schedule: 



(filed August IS, I97 9 s effective September l 3 1979) c iq7 g 



Rule Five 357 



1. . During the first year of each five-year review cycle, the Joint 

Committee will evaluate all of the rules classified pursuant to Section 
1.5.03 in the following subject areas and subareas: 
a. Industry and Labor 

(1) Business Regulation 

(2) Consumer Protection 

(3) Labor Laws 

(4) Regulation of Occupations 

2. During the second year of each five-year review cycle, the Joint 
Committee will evaluate all of the rules classified pursuant to Section 
1.5.03 in the following subject areas and subareas: 

a. Natural Resources 

(1) Energy 

(2) Environment 

(3) Wildlife Management 

b. Public Utilities 

c. Transportation 

3. During the third year of each five-year review cycle,~the Joint 
Committee will evaluate all of the rules classified pursuant to Section 
1.5.03 in the following subject areas and subareas: 

a. Governmental Management 

(1) Governmental Purchasing 

(2) Records and InformationManagement 

(3) Services Management 

b. Law Enforcement 

4. During the fourth year of each five-year review cycle, the Joint 
Committee will evaluate all of the rules classified pursuant to Section 
1.5.03 in the following subject areas and subareas: 

a. Human Resources 

(filed August 15, 1979, effective September I, 1979 ) 

AUG 15 197 

358 Rule Five 



(1) Corrections 

(2) Mental Health 

(3) Public Health 

(4) Welfare 

5. During the fifth year of each five-year review cycle, the Joint 
Committee will evaluate all of the rules classified pursuant to Section 
1.5.03 in the following subject areas and subareas: 

a. Education and Cultural Resources 

(1) Cultural Resources 

(2) Elementary and Secondary Education 

(3) Higher Education 

b. Financial Institutions 

Section 1.5.06: Prior to the initiation of the evaluation of existing rules within 
each area, subarea or activity, the office of the Joint Committee will make 
reasonable efforts to notify each agency whose rules will be evaluated as part 
of the review. Such notification will include the following information: 

1. The specific rules or sets of rules classified in the area, subarea or 
activity to be evaluated. 

2. The location of such rules in the official compilation of the agency's 
rules on file with the Office of the Secretary of State. 

3. The approximate time period during which the Joint Committee will be 
evaluating such rules. 

Section 1.5.07: Failure of the Joint Committee to give actual notice of a review 
to an affected agency under Section 1.5.06 shall not prevent the Joint 
Committee from reviewing existing rules of the agency, making 
recommendations concerning the agency, or objecting to existing rules of the 
agency during the course of a review of rules within a subject area, subarea, 
or activity. 

(filed August T.S 3 1979, effective September I, 1979) ..._ - 1Q7Q 

aug 1 5 ly/y 

Rule Five 359 



Section 1.5.08: When evaluating existing rules of an agency during the course of a 
review, the Joint Committee will request the agency to submit the following 
information concerning each rule or set of rules being evaluated: 

1. The specific statutory language which authorizes each rule or set of 
rules and the specific statutory language which each rule or set of rules 
is implementing or interpreting. 

2. The relationship of each rule or set of rules to the agency's programs 
and organizational structure. 

3. An estimate of the approximate cost to the State for operation of the 
agency programs or functions related to each rule or set of rules and for 
enforcement or monitoring of compliance with the rule or set of rules. 

4. An estimate of the extent of compliance and non-compliance by the 
affected public with each rule or set of rules, and the number and 
extent of variances permitted by the agency to each rule or set of rules. 

5. An estimate of the effect of each rule or set of rules on state revenues. 

6. An estimate of the economic effect on members of the public directly 
regulated by each rule or set of rules. 

7. Evidence of the existence of a public need for the regulation provided 
by each rule or set of rules, including evidence of any harm that would 
result to the public health, welfare or safety, if the rule or set of rules 
were repealed. 

Section 1.5.09: The staff of the Joint Committee will conduct a preliminary 

review of each rule or set of rules during the course of each review by the 
Joint Committee. Such staff review will be based on and consider the 
criteria outlined in Section 1.5.13. 

Section 1.5.10: The staff of the Joint Committee may pose questions, or problems 
to an agency discovered during the staff review of its rules, and meet or 
otherwise communicate with appropriate agency personnel or other interested 
individuals. 

(filed Au gust 15, 1979 , effective Se ptember 1 3 1979) 

AUG 15 197 

360 Rule F ive 



Section 1.5.11: The Joint Committee may hold public hearings for the purpose of 
gathering information and views from interested individuals or groups during 
the course of the review, when it finds that such a hearing is necessary for a 
complete examination of the rules. The Joint Committee may designate a 
subcommittee of its members for the purpose of holding such public hearings. 
The agenda of such hearings, including an indication of the specific rules or 
sets of rules involved and the agency or agencies whose rules are involved, 
shall be published in the Illinois Register as provided in Section 7.02(c) of the 
Administrative Procedure Act to afford interested individuals or groups 
notice of such hearings. Written or oral testimony presented at such hearings 
shall be considered by the Joint Committee as related to the criteria outlined 
in Section 1.5.13 in its evaluation of the rules involved. 

Section 1.5.12: The Joint Committee may consider together or separately rules 
included in the review, grouping them by agency, by further divisions of 
subject areas or subareas, or by the functional activities classification 
pursuant to Section 1.5.03. Such grouping shall be for the purpose of 
facilitating the conduct of the review or reporting findings and 
recommendations. 

Section 1.5.13: In evaluating existing rules under the periodic review program 

outlined in this rule, the Joint Committee shall consider the following 
criteria: 

1. Compliance of each rule with the statutory authority on which it is 
based. 

2. Compliance of each rule with the legislative intent of the enactment on 
which it is based. 

3. Compliance of each rule with constitutional requirements and other 
applicable law. 

4. Compliance in the certification and filing of each rule with the 
requirements of the Administrative Procedure Act, other applicable 



(filed August 15 3 1979, effective September I, 1979) 

AU G 1 5 1979 



Rule Five 361 



laws, the agency's rulemaking procedure rules and the rules of the 
office of the Secretary of State. 

5. Necessity for the rules, including the existence of a demonstratable 
public need for any regulation embodied in the rules. 

6. Accuracy and currency of the rules in relation to agency operations and 
programs. 

7. Simplicity and clarity of the language of the rules. 

8. Elimination of serious technical errors in the rules, including 
grammatical, spelling, and typographical errors, which affect the 
public's ability to understand the meaning of the rules. 

9. Reduction of overlapping or conflicting rules, or overlapping or 
conflicting regulatory jurisdictions of agencies or units within an 
agency. 

10. Inclusion of adequate standards and procedural safeguards in the rules 
to guide agency discretion, provide protection from arbitrary action, 
and inform the public of the basis for agency actions. 

11. Adequate consideration by the agency of the economic impact of the 
rules. 

Section 1.5.14: The staff of the Joint Committee will report to the Joint 

Committee on the results and findings of its preliminary review of rules in 
relation to the criteria outlined in Section 1.5.13. Such report may include 
appropriate recommendations for any of the types of Joint Committee action 
outlined in Section 1.5.16. Such recommendations shall be only advisory to the 
Joint Committee. Each agency whose rules are being reviewed shall be given 
reasonable opportunity to submit its views and comments in writing to the 
Joint Committee prior to the hearing by the Joint Committee provided for in 
Section 1.5.15. 

Section 1.5.15: The Joint Committee shall hold a hearing in relation to each 

review. Such a hearing may be conducted in conjunction with other hearings 
of the Joint Committee. The agenda of such a hearing will be published in 

(filed August IS, 1979, Effective September 1, 1979 ) 

AUG 15 19 

362 Rule Five 



the Illinois Register , as provided in Section 7.02(c) of the Administrative 
Procedure Act. At such a hearing, the Joint Committee shall consider the 
rules which are the subject of the review in relation to the criteria outlined in 
Section 1.5.13. Such consideration shall include consideration of written or 
oral testimony by the agencies involved, public testimony received at public 
hearings held in accordance with Section 1.5.11, and the results, findings and 
recommendations included in the staff report on its review. 

Section 1.5.16: In response to difficulties or problems in relation to the criteria 
outlined in Section 1.5.13 discovered in the course of the Joint Committee's 
review, the Joint Committee may take any of the following types of actions: 

1. Object to specific existing rules. Such objections shall be made 
pursuant to Section 7.07 of the Administrative Procedure Act in the 
manner indicated in Section 1.5.17 of this rule. 

2. Recommend appropriate rulemaking by agencies. Such action shall be 
taken in the manner indicated in Section 1.5.20. 

3. Recommend administrative action by agencies. Such recommendation 
may include recommended changes in rulemaking procedures or 
coordination of rulemaking between agencies. Such action shall be 
taken in the manner indicated in Section 1.5.20. 

4. Recommend further legislative investigation by appropriate 
committees, commissions or other units. 

5. Recommend specific corrective legislation. Such legislation shall be 
introduced into either house of the General Assembly upon a majority 
vote of the members of the Joint Committee. 

Section 1.5.17: If the Joint Committee determines that an existing rule or set of 
rules, which is a subject of the review, is seriously deficient in relation to any 
of the criteria outlined in Section 1.5.13 of this rule, the Joint Committee 
shall object to the rule as provided in Section 7.07 of the Administrative 

(filed August 15, 1979, effective September l 3 1-979 ) 

AUG 15 1979 

Rule Five 363 



Procedure Act. Within five working days of the objection, the Joint 
Committee shall certify the fact of the objection to the agency in the manner 
shown in Illustration V. A statement of specific objections to the rule or set 
of rules shall accompany the certification. 

Section 1.5.18: Within 90 days of the receipt of the certification of objection, the 
agency should notify the Joint Committee in writing of its intended action in 
response to the objection. The agency response shall be either (1) to initiate 
rulemaking to repeal the rule objected to by the Joint Committee, (2) to 
initiate rulemaking to amend the rule objected to by the Joint Committee, or 
(3) to refuse to initiate rulemaking to remedy the Joint Committee's 
objection. Failure to respond to the Joint Committee's objection within 90 
days after receipt of the objection shall constitute a refusal to remedy the 
Joint Committee's objection. Agency responses shall be made in the manner 
shown in Illustration VI. 

Section 1.5.19: If an agency fails to complete a rulemaking action initiated in 

response to the Joint Committee objection within 180 days, the Joint 
Committee shall consider such failure a refusal to remedy the Joint 
Committee's objection. 

Section 1.5.20: If the Joint Committee finds that a rule or set of rules under 

review is seriously deficient in relation to any of the criteria outlined in 
Section 1.5.13, and that remedying such deficiency will require new 
rulemaking or administrative action, rather than amending or repealing 
existing rules, the Joint Committee will recommend such necessary 
rulemaking or administrative action to the agency or agencies involved. 
Within five working days of such recommendation by the Joint Committee, 
the Joint Committee shall certify the fact of such recommendation to the 
agency or agencies. Such certification shall be made in the manner shown in 
Illustration VTI. A statement of the specific recommendation, reasons for the 



(filed August 15 3 1979 3 effective S eptember I, 1979 ) 

AUG 15 197 



364 Rule Five 



recommendation and the date by which the agency should respond to the 
recommendation shall accompany such certification. 

Section 1.5.21: The Joint Committee shall monitor whether agencies initiate 

recommended rulemaking and administrative action resulting from the 
review. Agencies should inform the Joint Committee of any rulemaking 
initiated or administrative action taken in response to recommendations for 
rulemaking or administrative action from the Joint Committee. 

Section 1.5.22: If the agency refuses or fails to remedy an objection to an 

existing rule or set of rules, or to initiate recommended rulemaking or 
administrative action by the date indicated in the recommendation, the Joint 
Committee may develop legislation to remedy statutory deficiencies or 
problems, clarify legislative intent, require administrative action, or 
otherwise remedy the situation. Such legislation shall be introduced into 
either house of the General Assembly upon a majority vote of the members of 
the Joint Committee. 



(filed August 15, 1979, effective September I, 1979) 



AUG 15 1979 



Rule Five 365 



RULE SIX: COMPLAINT REVIEWS OF EXISTING RULES 



Section 1.6.01: The Joint Committee on Administrative Rules will review existing 
rules of state agencies based on complaints received from interested persons 
or groups pursuant to this rule. Such review is authorized by Sections 7.07 
and 7.04 (subsections 2 and 3) of the Illinois Administrative Procedure Act 
[m. Rev. Stats. 1977, ch. 127, pars. 1007.07, 1007.04(2) and 1007.04(3)] . Review 
of rules by the Joint Committee pursuant to this rule is a legislative 
investigation and is not intended to be a prerequisite or replacement for any 
administrative or judicial review of rules otherwise provided for by law. 

Section 1.6.02: For the purposes of this rule, a complaint will consist of any 

written communication received by the Office of the Joint Committee which 
raises questions concerning existing rules of an agency or agencies related to 
the criteria specified in Section 1.6.07. 

Section 1.6.03: Complaints should be sent to the Executive Director, Joint Com- 
mittee on Administrative Rules, 520 South Second Street, Springfield, Illinois 
62706. Each complaint should include the following information: 

1. The names and addresses of the persons or groups presenting the 
complaint. 

2. The agency or agencies whose rules are being questioned. 

3. The specific rule or set of rules involved. 

4. A description of the effect of the rule or rules on the persons or groups 
presenting the complaint. 

5. The names and addresses of other affected persons and groups and 
representatives of the agency or agencies involved in the situation. 

6. Any additional facts or documentation necessary to understand the 
situation. 



(Filed August 15, 1979, Effective August 25, 1979) 

AUG 15 1979 

366 



7. . The relationship of the questions raised concerning the rules to the 
criteria specified in Section 1.6.07. 

Section 1.6.04: The Joint Committee staff may request additional information, 
pose questions or problems discovered during the review, and communicate op 
meet with the appropriate complainants and agency personnel to discuss the 
complaint. The conduct and content of the review shall be based on the 
criteria outlined in Section 1.6.07. The staff shall make reasonable efforts to 
ensure that the affected agency or agencies are aware of the substance of 
any complaint and the staff's findings. 

Section 1.6.05: When the Joint Committee receives a complaint which alleges 

that an agency has an unwritten policy which is not embodied in the rule or 
rules, the Joint Committee will encourage the persons or groups presenting 
the complaint to petition the agency to initiate rulemaking pursuant to 
Section 8 of the Illinois Administrative Procedure Act. 

Section 1.6.06: The Joint Committee staff shall report its findings to the Joint 
Committee. Such staff report will indicate whether the staff review of a 
complaint indicates evidence of possible deficiencies of the rule or rules in 
relation to the criteria specified in Section 1.6.07. Such report may include 
suggestions for objections by the Joint Committee. Staff recommendations 
shall be only advisory to the Joint Committee and shall not limit the Joint 
Committee from taking any appropriate action. 

Section 1.6.07: In reviewing complaints concerning existing agency rules, the 

Joint Committee shall give major consideration to the following criteria: 

1. Compliance of the rule or set of rules with the statutory authority on 
which it is based. 

2. Compliance of the rule or set of rules with legislative intent. 

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



(Filed August 15, 1979, Effective August 25, 1979) /\yQ 15 1979 



Rule Six 367 



4. . Reasonableness of the agency's rationale and justification for the rule 

or set of rules, particularly for any regulation of the public embodied in 
the rule or set of rules. 

5. Conformity of agency rules to the actual practice and operations of the 
agency. 

6. Inclusion of all relevant agency policies in the set of rules. 

7. Clarity of the language of the rule or set of rules. 

8. Clarity and completeness of the standards in the rules for the exercise 
of discretion by the agency. 

9. Conformity to rulemaking requirements of the Administrative 
Procedure Act, including the proper publishing and filing of the rules. 

10. Responsiveness of agencies to public comments and requests for 
rulemaking pursuant to Section 8 of the Administrative Procedure Act. 

11. Reasonableness of the economic impacts of the rules and limitation of 
such impacts to the proper scope of the agency's authority under the 
purpose and intent of the agency's authorizing statute. 

Section 1.6.08: Any one of the officers of the Joint Committee may place a 

complaint on the agenda of the Joint Committee for consideration of a rule 
or rules based on evidence of possible deficiencies of the rule or rules in 
relation to the criteria specified in Section 1.6.07. No complaint will be 
placed on the agenda if the officers determine that substantially the same 
issues raised by the complaint have been previously considered by the Joint 
Committee, unless the officers find that the complaint reveals substantial 
information not previously available to the Joint Committee. At the hearing, 
the complainant and the agency or agencies will be given an opportunity to 
present their views. If the Joint Committee finds that other persons or 
groups are directly affected by the rule or rules, such persons or groups will 
also be given an opportunity to present their views orally or in writing. 

Section 1.6.09: If the Joint Committee finds that the rule or rules which are the 
subject of a complaint are deficient in relation to the criteria specified in 



(Filed August 15 f 1979 f Effective August 25, 1979) AUG 1 5 19 



368 



Rule Six 



Section 1.6.07, the Joint Committee will object to the rule or set of rules. 
Within five working days of the objection, the Joint Committee shall certify 
the fact of the objection to the agency in the manner shown in Illustration V. 
A statement of specific objections to the rule or set of rules shall accompany 
the certification. 

Section 1.6.10: Within 90 days of the receipt of the certification of objection, the 
agency should notify the Joint Committee in writing of its intended action in 
response to the objection. The agency response shall be either (1) to initiate 
rulemaking to repeal the rule objected to by the Joint Committee, (2) to 
initiate rulemaking to amend the rule objected to by the Joint Committee, or 
(3) to refuse to initiate rulemaking to remedy the Joint Committee's 
objection. Failure to respond to the Joint Committee's objection within 90 
days after receipt of the objection shall constitute a refusal to remedy the 
Joint Committee's objection. Agency responses shall be made in the manner 
shown in Illustration VI. 

Section 1.6.11: If an agency fails to complete the rulemaking process initiated in 
response to the Joint Committee objection within 180 days, the Joint 
Committee shall consider such failure a refusal to remedy the Joint 
Committee's objection. 

Section 1.6.12: If the agency refuses or fails to remedy an objection to an existing 
rule or set of rules, the Joint Committee may develop legislation to remedy 
statutory deficiencies or problems, clarify legislative intent, or otherwise 
remedy the situation. Such legislation shall be introduced into either house of 
the General Assembly upon a majority vote of the members of the Joint 
Committee. 

Section 1.6.13: The Executive Director shall make reasonable efforts to inform 
the persons or groups initiating the complaint of the result of the Joint 
Committee review and the nature of the agency response. 

(Filed August 15. 1979. Effective August 25, 1979) 

9 AUG 15 1979 



Rule Six 369 



ILLUSTRATION I 

AGENCY ANALYSIS 

OF ECONOMIC AND BUDGETARY EFFECTS 

OF PROPOSED RULEMAKING 



Agency: 



Proposed Rulemaking: 



1. Direct economic effect on the persons regulated by the rule. 
Discussion 



Specific Estimated Effect 

$ 



2. Anticipated effect on the proposing agency's budget. 
Discussion 



Specific Estimated Effect 
$ 



Amended 

NOV 28197 

370 Illustrations 



3. Anticipated effect on the budgets of other state agencies. 
Discussion 



Specific Estimated Effect 
$ 



4. Anticipated effect on state revenue. 
Discussion 



Specific Estimated Effect 

$ 



5. Other considerations relevant to the economic and budgetary effects of the 
proposed rulemaking. 

Discussion 



Amended 

NOV 2 8 1979 



Illustrations 



371 



ILLUSTRATION II 



JOINT COMMITTEE ON ADMINISTRATIVE RULES 
CERTIFICATION OF OBJECTION 

County of Sangamon) 

) 

State of Illinois ) 

I, , Executive Director of the Joint Committee on Administrative 

Rules, being first duly sworn on oath, depose and state that, pursuant to Section 7.04 and 
7.06 of the Illinois Administrative Procedure Act, as amended, the Joint Committee on 

Administrative Rules, at its meeting on __^ , (Date) objected to 

3 (Title of Rulemaking) proposed by 

(Name of Agency). 

A statement of the Joint Committee's specific objections accompanies this certification. 

Please take notice that failure to respond within 90 days of receipt of this Statement of 
Objection shall constitute withdrawal of the proposed rulemaking published in the 
, (Date) Illinois Register in its entirety. 



Executive Director 



Subscribed and sworn to before me this day of , 19 



Notary Public 



Amended 

NOV 2 8197 

372 Illustrations 



ILLUSTRATION HI 



AGENCY RESPONSE TO JOINT COMMITTEE OBJECTION 
TO PROPOSED RULEMAKING 



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.) 



Amended 

NOV 2 81979 

Illustrations 373 



ILLUSTRATION IV 

JOINT COMMITTEE ON ADMINISTRATIVE RULES 

CERTIFICATION OF OBJECTION TO EMERGENCY OR PEREMPTORY RULES 



County of Sangamon) 

) 

State of Illinois ) 



I, , Executive Director of the Joint Committee on Administrative 

Rules, being first duly sworn on oath, depose and state that, pursuant to Section 7.04 and 
7.07 of the Illinois Administrative Procedure Act, as amended, the Joint Committee on 

Administrative Rules, at its meeting on , objected to the 

's (Name of Agency) (emergency, 

peremptory) rule(s) entitled or concerning (title 

or subject of rule or set of rules) which was (were) published m the 
, (Date) Illinois Register . 

A statement of the Joint Committee's specific objections accompanies this certification. 

Please take notice that failure of the Agency to respond to the Joint Committee's 
objections to a rule within 90 days of receipt of this Certification of Objection shall 
constitute a refusal to amend or repeal the rule. 



Executive Director 



Subscribed and sworn to before me this day of , 1979 



Notary Public 

Amended 

NOV 2 81979 

374 Illustrations 



ILLUSTRATION IV A 

AGENCY RESPONSE TO JOINT COMMITTEE OBJECTION 
TO EMERGENCY OR PEREMPTORY RULES 



Date: 



Agency: 



Title and Subject of Rule: 



Response (Check One): 



Initiate rulemaking to repeal the rule(s) to meet the 
Joint Committee's objection 

Initiate rulemaking to amend the rule(s) to meet the 

Joint Committee's objection 

Refusal to initiate rulemaking to remedy the Joint 

Committee's objection 

If rulemaking will be initiated, date notice of proposed rulemaking was, or is expected to 
be, published in the Illinois Register : 



Agency response to specific Joint Committee objections: 

(Respond to each of the specific objections raised by the Joint Committee, indicating 
clearly the intended agency action in response to each objection and the rationale for such 
response. Use additional pages as necessary.) 



Signature of Agency Official 



Amended 

NOV 2 8 1979 



Illustrations 



375 



ILLUSTRATION V 

JOINT COMMITTEE ON ADMINISTRATIVE RULES 

CERTIFICATION OF OBJECTION 

TO EXISTING RULES 

The Joint Committee on Administrative Rules hereby certifies that, pursuant to 
Sections 7.04 and 7.07 of the Illinois Administrative Procedure Act, as amended, the 

Joint Committee on Administrative Rules objected on (Date of 

Objection) to the 's 

(Name of Agency) rules(s) entitled or concerning 

(Title or Subject of Rule 

or Set of Rules) which appears at (Page or 

Location Identification) in the agency's rules. 

A statement of the specific objections of the Joint Committee accompanies this 
certification. 

Please take notice that failure to respond to this objection within 90 days, or failure 
to complete rulemaking initiated in response to this objection within 180 days of the 
receipt of this Certification of Objection shall constitute a refusal to remedy the 
objection. 

Certified (Date). 



By: 



(Signature) 



(Signature) (Typewritten name) 



(Typewritten Name) 

Chairman 

Joint Committee on 

Administrative Rules 



Subscribed and sworn to before me this (Date) date of (Month), 

(Year). 



Notary Public 

(Filed August 15, 1979, Effective August 25, 1979) 



AUG 15 19 



376 Illustrations 



ILLUSTRATION VI 



AGENCY RESPONSE TO JOINT COMMITTEE OBJECTION 
TO EXISTING RULES 



Date: 



Agency: 

Title and Subject of Rule: 



Response (Check one): 



Initiate rulemaking to repeal the rule(s) to 
meet the Joint Committee's objection 
Initiate rulemaking to amend the rule(s) to 
meet the Joint Committee's objection 
Refusal to initiate rulemaking to remedy the 
Joint Committee's objection 



If rulemaking will be initiated, date notice of proposed rulemaking was, or is expected 
to be, published in the Illinois Register: 



Agency response to specific Joint Committee objections: 

(Respond to each of the specific objections raised by the Joint Committee, 
indicating clearly the intended agency action in response to each objection 
and the rationale for such response. Use additional pages as necessary.) 



Signature of Agency Official 



(Filed August 15, 1979, Effective August 25, 1979) 



AUG 15 1979 



Illustrations 



377 



ILLUSTRATION VII 

JOINT COMMITTEE ON ADMINISTRATIVE RULES 
CERTIFICATION OF RECOMMENDATION 

The Joint Committee on Administrative Rules hereby certifies that, on 

(Date of Recommendation), pursuant to Sections 

7.04(3), 7.04(1) and 7.08 of the Illinois Administrative Procedure Act, as amended, 
the Joint Committee on Administrative Rules as a result of its review of rules 

entitled or concerning (Title or Subject of 

Rule or Set of Rules) recommended rulemaking or other administrative action by 
(Name of Agency). 

A statement of the specific recommendation of the Joint Committee and reasons 
for the recommendation accompanies this certification. 

Please take notice that failure to act to implement this recommendation within a 
reasonable time shall be considered by the Joint Committee as a refusal to remedy 
the situation. 

Certified (Date) 



(Signature) 



By: 



(Signature) " (Typewritten Name) 



(Typewritten Name) 

Chairman, 

Joint Committee on 

Administrative Rules 

Subscribed and sworn to before me this (Date) day of 

(Month), (Year). 



Notary Public 

(filed A ugust l b, 197 9, effective Septemb er I, 1979 ) 



AUG 1 5 1979 

378 ^lustrations 



APPENDIX D 

JOINT COMMITTEE ON ADMINISTRATIVE RULES 

POSITION PAPER 
ADOPTED MAY 29, 1979 

IMPLICIT AND EXPLICIT RULEMAKING AUTHORITY 
DELEGATED TO AGENCIES 



One of the recurring issues faced by the Joint Committee on Administrative Rules has 
been the question of whether an agency has an implicit power to make rules. Since the 
Joint Committee is authorized by the Illinois Administrative Procedure Act to examine 
whether an agency's rules are within the statutory authority of the agency [Section 
7.05(2)] , this has become a crucial issue. 

This position paper is intended to clarify the position the Joint Committee will take 
toward evaluating the nature of the rulemaking authority delegated to agencies by 
statute. This statement should enable agencies to anticipate what types of rules the Joint 
Committee will find to exceed the rulemaking authority of the agencies. 

Stated as simply as possible, the Joint Committee believes that each agency has the 
authority, and in fact, the responsibility, to state as completely as possible its policy 
whenever the agency is delegated a task requiring some exercise of discretion by the 
agency. Such rulemaking is interpretive, meaning that the rules present the agency's 
interpretation of the statutory enactment which it is administering. The Joint Committee 
believes, however, that such implicit authority to prescribe interpretive rules should not 
include adding any requirements or imposing any additional duties on the public. Rules 
which do add requirements beyond the statute which affect the rights or privileges of the 
public will be termed legislative rules. The Joint Committee will object to legislative 
rules proposed by agencies, unless the agency has an explicit statutory grant of 
rulemaking authority. This position should become clearer in the following discussion. 



MAJOR INSTANCES 

Two major instances raising this issue will be used to illustrate the Joint Committee's 
position in this paper. The first involved rules proposed by the Department of 
Registration and Education to administer Public Act 80-236, which involved the 
distribution of state funds to public museums. Since the Act did not expressly authorize 
the Department to adopt rules for carrying out the Act, the Joint Committee objected to 
the proposed rules. The Department responded using the following line of reasoning. (1) 
The Act gave the Department a specific task and responsibility, namely distributing 
certain funds to public museums. (2) The Department must not administer the Act 
arbitrarily. (3) The task could not be carried out nonarbitrarily without developing a set 
of policies which would fall under the definition of "rule" in the Administrative Procedure 
Act [Section 3.09] . (4) Therefore, the Act must also imply a power for the Department 
to adopt rules. Despite this reasoning, the Department agreed to withdraw the rules, 
following the Joint Committee's objection. The Joint Committee prepared a 
recommended amendment to the Act to expressly give the Department rulemaking 
authority. 

The second major instance involved rules concerning the issuance of legal opinions, which 
were proposed by the Office of the Attorney General. Again, the Joint Committee 
objected to the rules based on the lack of an explicit delegation of rulemaking authority 
to the agency. The Office of the Attorney General made the following comments at the 
Joint Committee hearing on the rules: 

Mr. Wallin [representing the Office of the Attorney 
General] : Just a few comments. The power to set 
rules and regulations doesn't give them the power to do 
anything that is beyond, or undertake anything that isn't 
authorized by, the statute in carrying out the program. 

And secondly, the definition of rule in the Procedure 
Act is quite broad and includes statements of policy. 

And third, if you tell me that we can't [adopt these 
rules] because we don't have the authority to 
promulgate these rules,. ..the new State Procedure Act 
does not apply. It only applies to agencies which have 



rulemaking authority.. .and I think that defeats the 
purpose of the Act in getting agencies to set down their 
policies and rules to give the people an accountable 
government. (June, 1978, JCAR hearing transcript) 

The office refused to modify or withdraw the proposed rules in response to the Joint 
Committee's objection. The Joint Committee developed legislation to grant the necessary 
statutory authority, but this was an argument which made the Joint Committee reconsider 
its position on evaluating an agency's rulemaking authority. 

BACKGROUND 

The trend of administrative law in this area is very difficult and complex. The only 
directly relevant Illinois Supreme Court case appears to be the 1875 case of Porter v. R., 
R.I. & St. L. R.R. Co. The challenged statute stated that the Board of Tax Equalization 
was to "adopt such rules and principles.. .as to it may seem equitable and just... not 
inconsistent with this Act. ..and of the same effect as if contained in this Act." While the 
Court ruled that this was a proper delegation of rulemaking authority, it went further to 
state, "We are unable to perceive that any power is, in this respect, conferred upon the 
Board which it would not equally have possessed had the statute been silent upon the 
subject." This statement would argue for implicit rulemaking authority, but cannot be 
relied on too heavily because the case is obviously dated and the statement was in the 
nature of dicta . 

The argument in favor of some type of implicit rulemaking authority is also supported by 
Professor Kenneth Culp Davis. He says in his Administrative Law Text , 
Any officer who has discretionary power necessarily 
also has the power to state publicly the manner in 
which he will exercise it, and any such public statement 
can be adopted through a rulemaking procedure, 
whether or not the legislative body has separately 
conferred a rulemaking power on the officer. 

The preceding sentence is (a) especially important to 
successful control of discretionary power, and it is (b) 
exceedingly simple and clearly incontrovertible, even 



381 



though (c) the legal effect of such a public statement 
by an officer depends upon extremely complex law that 
often baffles the best judges and the best lawyers, 
(page 143) 

Davis' comment on the legal effect of rules is of most direct concern here. Even though 
he says that agencies incontrovertibly have an implicit rulemaking authority in connection 
with the authorization of the agency to undertake any task requiring discretion, he is not 
saying that the agency has implicit authority to make rules which have the full force of 
law. 

Professor Frank E. Cooper in his text on state administrative law states a different view, 
although he does not directly deal with this issue. He distinguishes between types of 
rules, defining "legislative rules" as "those substantive rules adopted pursuant to 
delegation of legislation authority, the violation of which entails statutory sanctions." 
(page 264). He then defines "interpretive rules" as all rules made by agencies without 
"legislative authority," but carefully qualifies the nature of such rulemaking as not being 
quasi-legislative. The most important distinction to Cooper seems to be the inability of 
agencies to impose sanctions without express legislative authority. 

This type of distinction was indirectly supported by the Illinois Supreme Court in Madsen 
v. Industrial Commission (1943). In ruling on the legal effect of rules adopted by the 
Industrial Commission, the court held that 

While the Industrial Commission is vested with the 
power to make rules for carrying out its statutory 
duties, it is without power to make rules creating 
substantive rights. It is restricted to making only such 
rules as will aid in carrying out the duties imposed upon 
the commission by the statute. ..To give these quoted 
words [the commission's rules] the effect urged by the 
plaintiff in error [the effect of creating a substantive 
right] would amount to rendering the rule-making 
powers of the Industrial Commission superior to the 
legislative power of the General Assembly. 



Although the court did not use the terms "legislative" or "interpretive" rules, the 
argument is essentially that the commission's rules must be read as interpretive only, 
since the commission lacked the statutory authority to adopt legislative rules. Even 
though the commision did have express authority to adopt rules, the court interpreted that 
express authority as limited to procedural and interpretive matters. 

Administrative law has traditionally divided rules into two types based primarily, but not 
solely, on their effect. The first type is a legislative rule , which has the full force of law 
as though it were passed by the legislative body itself. Courts have typically upheld the 
substantive content of legislative rules, refusing to substitute the judgement of the court 
for the agency's judgement, when the courts have found that the agency had the authority 
to make legislative rules. The other type of rule is an interpretive rule . Interpretive 
rules do not have the force of law and simply state the agency's interpretation of the law 
rather than making new law. Courts have not been as reluctant to substitute their 
interpretation of the law for an agency's interpretation. 

A further traditional distinction between legislative rules relates to their basic character 
in relation to the statutory authorization. Legislative rules add substantive requirements 
to the statute, while interpretive rules only inform the public of the agency's 
interpretation of the statute. Obviously this distinction may be difficult to make in 
individual cases. It is clear that the definition of "rule" in the Administrative Procedure 
Act is broad enough to cover both types of rules. The Act does not apply only to rules 
which have the full force of law. 

THE JOINT COMMITTEE POSITION 

While the law in Illinois on this question is far from clear, it is clear that the two most 
consistent positions at the opposite extremes of the issue each results in obvious 
difficulties. The first position that agencies have implicit rulemaking authority whenever 
the agency is delegated a task requiring the exercise of discretion could result in the view 
that the common language in the statutes delegating rulemaking power to an agency is 
virtually meaningless. This position could also weaken the ability of the legislature to 
control or confine the quasi-legislative rulemaking authority of agencies and insure that 
agency rules do not usurp legislative authority, or misinterpret legislative intent, which is 
a basic purpose of the legislative review process established under the Administrative 
Procedure Act. 



383 



The position at the other extreme of the issue, that only agencies with explicit statutory 
grants of rulemaking authority can promulgate rules, also has adverse implications. While 
this position does allow the rulemaking authority of agencies to be more easily confined, 
it could result in a weakening of the coverage of the Administrative Procedure Act as 
indicated by the testimony of the Attorney General's office quoted above. Agencies could 
simply continue to follow informal policies which, for all practical purposes, would not be 
required to be publicly available through the rulemaking procedures of the Administrative 
Procedure Act. In effect, the definition of "rule" in the Act would also be weakened to 
refer only to expressly statutorily authorized rules, effectively eliminating the coverage 
of general policy statements. This would appear to defeat one of the basic purposes of 
the Act to require agencies to open all their informal policies to public scrutiny. 

The position adopted by the Joint Committee avoids both extremes and is consistent with 
the law in this area. Agencies with express statutory grants of rulemaking authority will 
normally have the authority to make legislative rules, while agencies lacking an express 
statutory grant of rulemaking authority for a particular area may only make interpretive 
rules. Both types of rules will nonetheless be subject to the requirements of the 
Administrative Procedure Act. The Joint Committee will examine carefully the 
character of each rule and its intended effect to determine if it is legislative or 
interpretive in nature. Then the Joint Committee will examine the statutory 
authorization under which the rule is being proposed to determine if the statute expressly 
authorizes legislative rules, expressly authorizes rulemaking not including legislative 
rules, or authorizes a task implicitly requiring interpretive rules. Recognition of the legal 
effect of the rules, whether legislative or interpretive, will be stressed by the Joint 
Committee with agencies and the affected public. 

It should be noted that express grants of rulemaking power may not actually grant the 
power to adopt legislative rules. For example, it is conceivable that a statute could 
authorize an agency to make rules with the provision that "such rules shall not have the 
force of law," or the statute itself could be so specific or stated in such terms that it 
would not allow additional legal requirements to be imposed. Rules adopted under these 
authorizations would clearly be only interpretive. On the other hand, a statute which does 
not expressly authorize legislative rules may implicitly require legislative rules, although 
this would presumably be an extraordinary situation. In such cases, the Joint Committee 
believes it would be the best policy to consider the statute itself deficient and the Joint 
Committee will recommend remedial legislation. 



The presumption by the Joint committee will be, following this policy, as in the past, that 
rules are legislative and an express grant of rulemaking authority is required. 

Other states have developed similar positions in relation to this issue. In response to a 
question by the Joint Committee, the Wyoming Legislative Council stated their position 
as follows: 

If rules are legislative, i.e., impose restrictions, 
limitations or substantive obligations upon members of 
the public dealing with the agency, then such rules may 
only be adopted under express statutory 
authority... [However,] we encourage the adoption of 
interpretive rules, whether under express or implied 
rulemaking authority, as the best means of identifying 
differences between administrative interpretation and 
legislative intent, and of avoiding non-uniform 
application of the law. 

This position taken by the Wyoming legislature in reviewing administrative rules and 
expressed by other states as well closely parallels the position adopted by the Joint 
Committee. 

Stated simply, the Joint Committee will utilize the basic judicial distinction between 
legislative and interpretive rules as a basis for determining whether the statute authorizes 
the type of rulemaking being proposed by the agency. Legislative rules proposed by an 
agency without a specific grant of such rulemaking authority would be objected to by the 
Joint Committee. 

However, the Joint Committee will not distinguish between legislative and interpretive 
rules in precisely the same manner as courts have developed this distinction. While courts 
have focused on the legal effect of the rules in making this determination, the Joint 
Committee will focus more on the nature of the rules themselves. In the Joint 
Committee's view, legislative rules can be thought of as proscriptive (meaning that they 
affect a legal right, duty or privilege), while interpretive rules can be considered purely 
descriptive (meaning that they inform or direct without affecting a legal right, duty, or 
privilege). A rule will be defined by the Joint Committee as interpretive if it has one of 
the following characteristics: 



1. It places no additional legal duty and confers no 
additional substantive right or privilege on any 
outside party beyond the statutory duties or rights. 

2. It describes a duty, burden or right in strictly 
permissive language. 

3. It describes or establishes a discretionary power 
which does not include any power to impose a legal 
duty or confer a substantive right or privilege. 

4. It describes or imposes no additional burden of 
performance beyond any statutory requirement as 
a precondition to a substantive right or privilege 
except for instructions setting forth purely 
ministerial acts relative to use of agency forms 
and procedures. 

A rule having none of these characteristics would be defined as legislative or proscriptive. 
Generally, legislative rules will be considered as rules which impose (directly, indirectly, 
or by reference to statutory penalty provisions) "penalties" for acting or failing to act in 
some manner. Such a "penalty" may involve the imposition of a duty or the loss of a right 
or privilege as well as a monetary fine or other conventional penalty. 

APPLICATION 

Attempting to retroactively apply this position to the two specific instances cited at the 
beginning of this paper is difficult, but may be useful in illustrating the actual effect of 
this position. The rules proposed by the Department of Registration and Education seem 
to have been in the nature of legislative rules, since they clearly affected who would and 
who would not receive a public benefit. Thus the Department did lack the authority to 
propose the rules and the objection of the Joint Committee was well-founded. The 
provision of an express statutory rulemaking authorization, since the Joint Committee 
recognized that the lack of the rulemaking authorization really constituted a deficiency in 
the legislation, solved the question and legitimately authorized the Department to adopt 
these legislative rules. The rules adopted under that authority then would be viewed as 
having the full force of the law. Alternatively, the legislature could have included 
specific details in the Act regarding distribution of the funds, leaving the Department 
narrowed discretion that would only require interpretive rulemaking. 



386 



The instance involving rules proposed by the Attorney General's office is less clear. It is 
uncertain whether the proposed rules were in the nature of legislative or interpretive 
rules or whether their intended effect was to have the full force of law. If the rules were 
viewed by the Joint Committee as only interpretive, then the Joint Committee should not 
have objected and should have actually encouraged the agency to develop such rules to 
inform the public as completely as possible, while at the same time, stressing that the 
rules do not have the force of law. However, if the Joint Committee determined that the 
rules were legislative in character and intent, then an objection was entirely in order 
since the agency lacked the necessary express statutory authorization to add substantive 
requirements to the law by adopting legislative rules. 

As indicated by this brief attempt to apply this position to these cses, this is a workable 
and balanced position. The Joint Committee believes that adoption of this position will 
clarify the authority of agencies to adopt rules as well as contribute to an understanding 
of the proper role of legislative review of administrative rules in insuring compliance of 
rulemaking with statutory authority. 



387 



3CAR STAFF PAPER 

ALTERNATIVES FOR STRENGTHENING LEGISLATIVE REVIEW 

OF ADMINISTRATIVE RULES IN ILLINOIS 



Introduction 

This paper briefly outlines various alternatives for strengthening the Joint 
Committee's review of administrative rules. To place these alternatives in 
context, the report first discusses the growing activity among state legislatures in 
this area and presents the major patterns of powers and structures which other 
states have used for their review of administrative rules. Then, a brief discussion 
of perceived problems in the current Illinois system is presented. Finally, nine 
alternatives for strengthening review of administrative rules in Illinois are outlined 
for the consideration of the Joint Committee. The approach of this report, even to 
the legal issues involved, is primarily pragmatic. 

Activity in the States 

The growing movement in the states to initiate legislative review of 
administrative rules is clearly evident from even a cursory examination of the 
statistics. According to a report by the Legislative Improvement and Moderniza- 
tion Committee of the National Conference of State Legislatures, in 1967 only 
thirteen states had procedures for legislative review of administrative rules. The 
number had risen to twenty-seven by 1976. The activity on this issue during the 
1977 session can be viewed as little short of phenomenal. The following figures 
give some indication of this activity: 



Event During 1977 
Legislative Session 

Formation of new mechanism 
for legislative review of 
administrative rules 

Major revisions in procedures 
for legislative review of 
administrative rules 

Gubernatorial veto of 
related legislation 



Number of 
States 



Specific States 

Illinois , Georgia, Maine, 
Nevada, New York, North 
Carolina, Ohio, Texas, Wyoming 

Alaska, Connecticut, Kansas, 
Michigan, Missouri, Montana, 
South Carolina 

Colorado, Louisiana, New 
Mexico, New York, North 
Dakota, Rhode Island 



389 



This explosive activity not only indicates that state legislatures view this as a 
crucial issue of reassertion of legislative authority over lawmaking, but also 
indicates that a variety of different forms and procedures are being adopted by the 
various states. This is particularly evident from the significant number of states 
making major revisions in their mechanisms for legislative review of administrative 
rules, especially since some of these states only established such mechanisms a few 
years previously. 

In many ways, the developments in Illinois stand in the mainstream of these 
trends. Although taking a moderate, "advisory only" form of legislative review, 
already during the 1978 legislative session several significant changes in the review 
process were proposed in House Bills 15 and 16. The comparatively strong language 
for review of existing rules included in the Illinois Administrative Procedure Act, 
however, is quite unique among the states. 

Despite a number of thorny legal questions surrounding this entire develop- 
ment, such as the separation of powers doctrine, it is perhaps a fair statement that 
the law in this area is extremely flexible. In fact, careful formulation of changes 
in the mechanisms of legislative review may itself exert a significant impact on the 
trend of law. Thus, while this paper will discuss some legal issues, this basic 
qualification that the law is not fixed or precise in this area should be kept in mind. 

Patterns Among the States 

Examining the procedures for legislative review of administrative rules in the 
various states, several patterns of powers and structure which emerge. Based on 
responses to a questionnaire recently sent to the states by the Joint Committee, 
the following four basic patterns can be delineated: 



Pattern for Legislative Review Number of 

of Administrative Rules States 

I. Full legislature approval of 2 
administrative rules required 

II. Standing substantive legislative 7 
committees review administrative 

rules 

III. Special administrative review 12 
committee with limited power 



J90 



IV. Special administrative rule review 7 

committee with veto or suspension 
power 

There is no constitutional or legal question that the legislature as a whole 
with the approval of the governor can pass a law changing or repealing any 
administrative rule or regulation, since such rules and regulations are adopted by 
agencies under legislative authorization. The legislature again with the consent of 
the governor can even change the agency's authorizing statute and the functions 
assigned to an executive agency. 

The power of a legislative committee is less clear and becomes the crucial 
issue. There are basically two different approaches which have been taken to this 
issue in other states as indicated by the patterns above. Some states have 
established committees with the power to suspend or disapprove administrative 
rules. Other states have limited the power of such committees to a comment and 
recommendation function. 

The two states with the longest existing system of administrative rule review 
both utilize special committees with suspension powers. These states are Michigan 
and Wisconsin. In response to a challenge of the constitutionality of the Wisconsin 
Joint Committee for Review of Administrative Rules before the Wisconsin Supreme 
Court, the committee argued that its power to suspend rules is not a law-making 
power, but only the power to allow the legislature as a whole time to consider the 
rules. This type of argument may well answer some of the difficult legal issues 
involved in this area, although it obviously does little to support a full approval 
power vested in a rules review committee. 

Current Perceived Problems 

There appear to be several interrelated problems with the current Illinois 
system for legislative review of administrative rules as perceived by members of 
the Joint Committee on Administrative Rules. One of these problems, the lack of 
"finality" of the rules as reviewed by the Joint Committee, was addressed by the 
changes in House Bill 16. Whether these changes will actually accomplish their 
intended purposes in resolving this problem is still unclear at this point in time. If 



391 



the changes are effective, one area of agency unresponsiveness to the Joint 
Committee will be eliminated; the agency will be required to commit itself to a 
final form of the rule prior to Joint Committee review and will also be required to 
respond directly and only to the Joint Committee's objections. 

Other problems in relation to agency unresponsiveness may well remain, 
however. Agencies may still be able to respond negatively to the Joint 
Committee's objections with little fear of direct, expeditious and effective action 
by the Joint Committee. The primary recourse available to the Joint Committee is 
the recommendation of corrective legislation to the full General Assembly. While 
this avoids some difficult legal issues, it has two basic disadvantages: 

(1) It involves a long process of consideration by the General Assembly, 
during which time the presumption is in favor of the agency since the 
rule is allowed to be effective and enforced, regardless of the 
seriousness or strength of legislative opposition. 

(2) Some specific areas of regulation may be too technical or complex or 
the objections may be of such a nature that corrective changes in 
statutory langauge may be extremely complex and could result in 
harmful overspecificity in the statutory language. 

For example, if the Joint Committee objects to a rule as being too vague and 
failing to protect against arbitrary action by the agency and the agency refuses to 
modify the rule, the Joint Committee is faced with the complex task of specifying 
in recommended corrective legislation the specific points of detail the agency 
should include in the rule and then explaining the issue to the full General Assembly 
before any effective action can be taken. This would be true regardless of how 
poor the rule was or how seriously it affected the rights of the public. Thus, the 
Joint Committee could be seriously hampered in taking effective corrective action 
in this type of situation. 

Some of these current perceived problems may be reduced by a strong and 
effective review of existing rules by the Joint Committee under its current 
authority. Since the Joint Committee has only begun implementation of this 
authority, however, it is difficult to know what its effect will be. 



342 



Alternatives 

The following alternatives appear possibly appropriate for consideration by 
the Joint Committee at this time. These alternatives are designed to increase the 
control of the Joint Committee over administrative rules and to address the 
problems of unresponsiveness of agencies. Obviously other alternatives are 
possible, but these appear to be the most feasible strengthening alternatives at this 
time. Each of these alternatives has parallels to the procedures established in 
other states, although significant differences in other aspects of the rulemaking 
process in other states limits the relevance of these parallels. 

1. Require agency consideration of the economic effect of proposed rules 
and strengthen the power of the Joint Committee to review the 
economic effect of rules . 

The Florida Joint Administrative Procedures Committee is involved in 
reviewing the economic effects of proposed rules and agencies in Florida are 
required to consider the economic impact of rules prior to initiating rulemaking. 
Difficulties have arisen from the language of the requirement and the legislative 
review has usually been quite cursory. In Illinois, such a provision could be 
strengthened by including review by the Joint Committee of the economic effects 
of existing rules during the five-year review program. Inclusion of such a provision 
might at least make agencies more conscious of the effects of their rules and could 
strengthen the Joint Committee's role by providing another criterion for review of 
agencies' rules. 

2. Shift the burden of proof to the agency in any court challenge of a rule 
provision specifically objected to by the Joint Committee . 

This is parallel to a unique provision included in the Iowa Administrative 
Procedure Act. It would give the Joint Committee's objections more weight by 
requiring the agency to present a positive justification for a challenged rule in a 
subsequent court challenge, if the rule had been objected to by the Joint 
Committee. The fear of the rule being challenged in court would presumably 
increase agency responsiveness to the Joint Committee. This alternative also has 
the advantage of not requiring additional action by the Joint Committee. Since 
this is a unique provision in the Iowa law, it is unclear exactly now effective it 



393 



would be in Illinois. In the one court case that has occured in Iowa on this issue, 
the court reversed the burden of proof, found that the agency was unable to 
adequately support the rule, and declared the rule invalid. Whether Illinois courts 
would treat such a provision in the same way is unclear. The substance and 
authority of the Joint Committee objection as well as the constitutionality of the 
provision itself could become objects of the court's concern. 

3. Require approval by the Joint Committee of all emergency rulemaking 
prior to the rulemaking becoming effective . 

Under this alternative, the Joint Committee would consider each emergency 
rulemaking and determine whether an actual emergency exists prior to the 
effectiveness of the emergency rulemaking. This could possibly be done by a 
subcommittee of the Joint Committee to avoid the necessity of frequent meetings, 
although this may not be acceptable. Such an alternative would prevent agencies 
from bypassing the Joint Committee review through the emergency rulemaking 
provisions. Such a provision should include a specification of the basis on which the 
Joint Committee will find that an emergency exists, such as, definite evidence of 
an impending loss of federal funds. Rulemaking rejected under the emergency basis 
would then be reviewed by the Joint Committee under the normal proposed 
rulemaking review process. This could cause unnecessary delay, however, in cases 
where serious emergencies exist. This alternative, as well as the next alternative, 
may be somewhat premature, however, since the Joint Committee has not yet 
begun review of emergency rules under the current advisory power. 

4. Allow suspension by the Joint Committee of any emergency rulemaking 
during the emergency period . 

This is a variation of the previous alternative, which might avoid the 
unnecessary delays involved in serious emergency situations. An agency under this 
procedure would be allowed to adopt emergency rules, at any time, but the Joint 
Committee on a finding that an actual emergency does not exist, would be able to 
suspend the emergency rule. At this point, the agency would be able to submit the 
rule through the normal proposed rulemaking process. 

5. Allow the Joint Committee to veto any rulemaking proposed by an 
agency before it became effective . 



394 



This alternative could raise constitutional questions about separation of 
powers, but can be defended reasonably; the legislature is merely conditioning its 
delegation of rulemaking authority to the administrative agencies. Of course, a 
court may view the issue differently. This alternative would strengthen the Joint 
Committee and also increase agency responsiveness, although agencies could evade 
the procedure by simply not filing its rules. Thus, pushing rulemaking underground 
or encouraging hidden rules could be a result of this alternative. Such an 
alternative might allow the Joint Committee to continue to disclaim actual 
responsibility for the substance of rule, which would be more difficult under the 
next alternative, but it is problemmatic whether the general public would actually 
distinguish between this veto power and an actual approval power. 

6. Require positive approval by the Joint Committee of all proposed rules 
before they can become effective . 

This alternative would place the Joint Committee in a very strong position, 
but could also result in the Joint Committee being viewed by the public as 
responsible for the substance of the rules instead of the more limited responsibility 
for conformity to the authorizing statute and legislative intent. Requiring 
legislative approval before the effectiveness of the rules would probably confront 
fewer constitutional issues than allowing suspension of already effective rules. The 
legal argument could be made in support of this alternative that the delegation of 
rulemaking authority to an agency does not need to be unconditional; the 
legislature is simply conditioning the delegation of rulemaking authority on the 
approval of the Joint Committee. Changes to each of these specific statutory 
grants of rulemaking authority as well as changes to the Illinois Administrative 
Procedure Act may be necessary to actually effectuate this alternative. 

7. Allow suspension of existing rules by the Joint Committee . 

This would be the strongest alternative for legislative review of administra- 
tive rules. One of two different qualifications might be added to the authority of 
the Joint Committee to suspend rules: (1) The power could be subject to positive 
confirmation by the full General Assembly through passage of a resolution. This 
would require positive action by the Joint Committee in introducing and supporting 
such a resolution. (2) The power could be subject only to being overturned by the 
full General Assembly through passage of a resolution. This would be a lesser 



395 



qualification of the Joint Committee's power, since the presumption would be on 
the side of the Joint Committee. This alternative regardless of the qualifications 
would result in the most serious legal issues. One issue which would be raised is 
whether passage of a resolution can affect law, since it eliminates the approval of 
the Governor required under normal legislative lawmaking. 

8. Allow the Joint Committee to require rulemaking by an agency . 

Very serious constitutional questions could be raised about this alternative. It 
could be viewed as denying rulemaking authority to an agency at all, since the Joint 
Committee could force the agency to adopt whatever rules the Joint Committee 
desired. If the provision were carefully worded to allow the Joint Committee to 
require rulemaking only in certain areas and based on certain criteria, such a 
provision could be defensible. 

9. Allow the Joint Committee to challenge agency rules by initiating a 
court action . 

This power has recently been given to the Florida legislative committee 
reviewing administrative rules. It would allow the Joint Committee to directly 
challenge the validity of an agency rule as an alternative to the time-consuming 
process of recommending remedial legislation. This would eliminate some of the 
current perceived problems involved in recommending legislation to correct 
improper rulemaking, but might create other problems. The provision should 
include specific criteria, such as a finding that the rule exceeds statutory authority 
or fails to comply with legislative intent, as the basis of any court challenge 
initiated by the Joint Committee. Such an alternative would place the Joint 
Committee in a direct formal adversarial role with the agency, which may not be 
desirable. 



396 




APPENDIX F (1) 



WILLIAM J. SCOTT 

ATTORNEY GENERAL 

STATE OF ILLINOIS 

SPRINGFIELD 



January 10 , 1979 



FILE NO. S-1408 



ENVIRONMENTAL PROTECTION* 
Authority of Environmental Protection 
Agency to Adopt Technical Policy State- 
ments Concerning Public Water Supplies 



Michael P. Mauzy, Acting Direct 
Illinois Environmental Protec; 
2200 Churchill Road 
Springfield, Illinois 627 



Dear Mr, Mauzyj 

I have you 
Illinois Environme 
to adopt technical 
supplies, 
authority (t 







where. ih> you ask whether the 
•.t^on Agency has the authority 

lents concerning public water 
that the Agency does have the 
th statements. 

littee on Administrative Rules has 
questioned thV-A^eficy *s authority to adopt these technical 
policy statements. The Committee has pointed out that under 
section 17 of the Environmental Protection Act (111. Rev. Stat 
1977, ch. Ill 1/2, par. 1017) the Pollution Control Board has 



397 



Michael P. Mauzy - 2. 

the authority to adopt regulations concerning public water 

supplies and that the Board may not redelegate its authority 

to the Environmental Protection Agency, 

The Pollution Control Board has not redelegated its 

authority to adopt public water supply regulations to the 

Agency- Rule 212A of the Board's rules and regulations on 

public water supplies provides as follows t 

"A- The Agency may adopt criteria, published 

in the form of Technical Policy Statements, 
for the design, operation, and maintenance 
of public water supply facilities as necessary 
to insure safe, adequate, and clean water. 
These criteria shall be revised from time to 
time to reflect current engineering judgment 
and advances in the state of the art." 

Rule 212A is a directive from the Board to the Agency consistent 
with the Agency's statutory authority to administer the pro- 
visions of the Environmental Protection Act relating to public 
water supplies and the public water supply regulations of the 
Pollution Control Board, in its opinion on the regulations 
for public water supplies, the Board discussed Rule 212A. The 
Board explained that Rule 212A did not redelegate the Board's 
rule-making authority to the Agency and that the Agency's 
technical policy statements were intended to inform the owners 
of public water supplies as to how the Agency administers the 



398 



Michael P. Mauzy - 3. 

Board's regulations. The Board's opinion reads in pertinent 

part: 

"Technical policy statements are the tools of 
the Agency to allow the proper administration of 
these rules. These statements detail what will be 
required of a public water supply so as to comply 
with these rules, and serve as a guide for proper 
construction and operation of facilities. Guide- 
lines are also incorporated for the proper minimum 
chlorine residuals, fluoridation procedures, safety 
precautions, and any other pertinent specifications 
(R. 23, 943). 

Certain witnesses expressed a fear that 
technical policy statements would allow the Agency 
to dictate all facets of public water supply and 
potentially interfere with normal maintenance (Ex. 
29, P. 6, R. 860). This fear is unfounded. In the 
first instance. Rule 212 (B) allows ample time for 
public comment. In the second instance, if an owner 
of a public water supply feels that a condition to 
his permit was incorporated on the basis of an 
unjust technical policy statement, his appeal to 
the Illinois Pollution Control Board could very 
well raise this point. Technical policy statements 
have been used in other divisions of the Environ- 
mental Protection Agency, and would appear to be 
working satisfactorily." 

Even without Rule 212A, the Agency has the statutory 

authority to adopt technical policy statements concerning public 

water supplies. Section 15 of the Environmental Protection Act 

I 
(111. Rev. Stat. 1977, ch. Ill 1/2, par. 1015) requires 

owners of public water supplies to submit plans and specifi- 
cations for any public water supply installations, changes, or 



399 



Michael P. Mauzy - 4. 

additions to the Environmental Protection Agency. Section 16 

of the Act (111. Rev. Stat. 1977, ch. Ill 1/2, par. 1016) 

authorizes the Agency to approve plana and specifications on 

the basis of sanitary quality, mineral quality and adequacy 

of the water supply. The Agency is also authorized to request 

owners of public water supplies which are operating to submit 

samples of water and reports of operation. (111. Rev. Stat. 

1977, ch. Ill 1/2, par. 1019.) The Agency's technical policy 

statements inform the owners of public supplies as to how the 

Agency carries out its duty to approve and monitor public 

water supplies. 

In addition to its specific authority to approve 

and monitor public water supplies, the Agency has general 

authority to administer the permit system established by the 

regulations of the Pollution Control Board. Section 4(g) of 

the Environmental Protection Act (111. Rev. Stat. 1977, ch. 

Ill 1/2, par. 1004(g)) provides as follows: 

"(g) The Agency shall have the duty to 
administer, in accord with Title X of this Act, 
such permit and cert if ication systems as may be 
established by this Act or by regulations adopted 
thereunder. " 

Title X of the Act includes section 39(a) (111. Rev. Stat. 1977, 



400 



Michael P. Mauzy - 5. 

ch, 111 1/2, par. 1039(a)). Section 39(a) reads in pertinent 
part: 

"(a) When the Board has by regulation required 
a permit for the construction, installation, or 
operation of any type of facility, equipment, vehicle* 
vessel, or aircraft, the applicant shall apply to the 
Agency for such permit and it shall be the duty of 
the Agency to issue such a permit upon proof by the 
applicant that the facility, equipment, vehicle, 
vessel, or aircraft will not cause a violation of 
this Act or of regulations hereunder. The Agency 
shall adopt such procedures as are necessary to 
carry out its duties under this Section . In 
granting permits the Agency may impose such 
conditions as may be necessary to accomplish the 
purposes of this Act, and as are rot inconsistent 
with the regulations promulgated by the Board here- 
under. * * *" (Emphasis added.) 

The Board has established a permit system for public 
vater supplies. According to section 4(g), the Agency ad- 
ministers this system; and, according to section 39(a), the 
Agency is required to adopt procedures that are necessary to 
administer the issuance of public vater supply permits. The 
Agency's technical policy statements are necessary in order 
to administer the Board's permit requirement for public water 
supplies. These statements provide the owners of public water 
supplies with a clear set of guidelines as to how the Agency 
administers the Board's regulations. The Board retains its 
rule-making authority. As pointed out in the Eoard's opinion 



401 



Michael P. Mauzy - 6. 

en Rule 212A, an owner of a public water supply who believes 
that the Agency's technical policy statements incorrectly 
administer the Board's regulations, may appeal to the Board. 
The Board may then examine whether the Agency's technical 
policy statements are in accord with the intention of the 
Board's regulations. 

It is, therefore, my opinion that the Pollution 
Control Board has not redelegated its authority to adopt 
regulations concerning public water supplies to the Environ- 
mental Protection Agency. The Agency's statutory powers to 
approve and monitor public water supplies and to administer 
the Board's permit requirements authorize the Agency to 
adopt technical policy statements for public water supplies. 

This conclusion is supported by the analysis in 
U. S. Steel Corp. v. Pollution Control Board (1977), 52 111. 
App. 3d 1, 9. In that case it was contended that the Board's 
Rule 910(a)(6) redelegated the Board's authority to set 
effluent standards and conditions to the Agency. The court 
disagreed with that contention and with the earlier finding 
of invalidity in Peabody Coal Co. v. Pollution Control Board 
(1976), 36 111. App. 3d 5, 20. The court in U. S. Steel held 



402 



Michael P. Mauzy - 7. 

that Rule 910(a) (6) was not a redelegation of the Board's 
rule-making authority but was, instead, a directive to the 
Environmental Protection Agency to carry out the Agency's 
statutory power to set the conditions and terms for the 
issuance of National Pollution Discharge Elimination System 
permits. Rule 212A of the Board's rules and regulations on 
public water supplies, similarly, is not a redelegation of 
the Board's authority to regulate public water supplies. 
Rule 212A is merely a directive to the Environmental Protection 
Agency to exercise the Agency's statutory authority to adopt 
technical policy statements concerning public water supplies. 

Very truly yours, 

ATTORNEY GENERAL 



403 




APPENDIX F (2; 



William J. Scott 

ATTORNEY GENERAL 

STATE OF ILLINOIS 

SPRINGFIELD 

6H706 

April 30, 1979 



FILE NUMBER S-1434 

ADMINISTRATIVE LAW: 
Whether Northeastern Illinois 
Planning Commission Is a 
State Agency 



Honorable Harry Yourell 

State Representative 

Chairman, Joint Committee on 

Administrative Rules 

5 20 South Second Street, Suite 100 

Springfield, Illinois 62706 

Dear Representative Yourell: 

This responds to your letter wherein you ask 
whether the Northeastern Illinois Planning Commission (here- 
inafter referred to as NIPC) is a State agency for the 
purposes of the Illinois Administrative Procedure Act. 
(111. Rev. Stat. 1977, ch. 127, par. 1001 et se£. ) Section 
3.01 of that Act (111. Rev. Stat. 1977, ch. 127, par. 1003.01, 
as amended by Public Act 80-1457) defines the term "State 
agency" as follows: 

"'Agency' means each officer, board, commission 
and agency created by the Constitution, whether in 
the executive, legislative, or judicial branch of 
State government, but other than the circuit 
court; each officer, department, board, commission, 



Honorable Harry Yourell - 2. 



agency, institution, authority, university, 
body politic and corporate of the State; and 
each admin istrative unit or corporate outgrowth 
o± the Stat e governm en t which is created by or ~ 
mrsuant to statute, other than units of local 



government and their offi cers, school districts 
and boards of election commissioners ; each 
administrative unit or corporate outgrowth of 
the above and as may be created by executive 
order of the Governor. However, 'agency' does 
not include: 

(a) the House of Representatives and Senate, 
and their respective standing and service committees] 

(b) the Governor; and 

(c) the justices and judges of the Supreme and 
Appellate courts. 

No entity shall be considered an 'agency' 
for the purposes of this Act unless authorized by 
law to make rules or to determine contested cases." 
(Emphasis added.) 

It is my opinion that NIPC does not qualify as a 

State agency under this definition. In opinion No. NP-770, 

I examined the nature of NIPC and advised that it was a 

body politic and corporate, separate and apart from State 

government. I stated in that opinion as follows: 



NIPC is defined in section 4 of the North- 
eastern Illinois Planning Act (111. Rev. Stat. 
1973, ch. 85, par. 1104) as a 'body politic and 
corporate' -- a separate governmental entity 
exercising a specific and distinct governmental 
function -- planning. It is no part of the 
counties, cities, villages, townships, park 
districts, etc., located in the six county area 
of northeastern Illinois. It is also separate 
and apart from state government . State executive 
government has no control over NIPC, or its 
functions. Indeed, the Northeastern Illinois 
Planning Act treats the State of Illinois as a 
separate entity when it provides, at section 36: 



406 



Honorable Harry Yourell - 3. 

'The Commission may accept and expend funds 
* * * from any source including grants, bequests, 
gifts, or contributions made by a person, a 
unit of government, th e State go vernment , or 
the Federal government.' (emphasis added.) 
(111. Rev. Stat. 1973, ch. 85, par. 1136.)" 

I see no basis for changing the conclusion reached in opinion 

No. NP-770 and find no basis for doing so in the Illinois 

Administrative Procedure Act. NIPC is a body politic and 

corporate, but it is not a body politic and corporate of the 

State. Furthermore, because NIPC is separate and apart from 

the State government, it cannot be an administrative unit or 

corporate outgrowth of the State government. 

I am aware that there is some uncertainty regarding 
the underscored words in section 3.01. The phrase expressly 
excludes units of local government, school districts and 
boards of election commissioners from administrative units 
and corporate outgrowths of the State government. Exceptions 
to the application of a statute are generally strictly 
construed. (People v. Chas. Levy Circulating Co. (1959), 17 
111. 2d 168, 177.) Such strict construction, however, will 
not be applied to defeat the legislative purpose with respect 
to a particular provision. Winner v. Kadow (1940), 373 111. 
192, 195; People ex rel. Hopf v. Barger (1975), 30 111. App. 
3d 525, 537. 

There is no indication that the General Assembly 
intended that the express exclusion in section 3.01 should 



40/ 



Honorable Harry Yourell - 4. 

be interpreted to mean that governmental entities other than 
the three specified must be considered administrative units 
or corporate outgrowths of the State government, even though 
they are separate and apart from the State government. Units 
of local government, school districts and boards of election 
commissioners are not part of the State government. The 
apparent purpose of the express exclusion of these entities 
is to guarantee that they will not be deemed to be State 
agencies. The express exclusion is not intended to result 
in including entities such as NIPC within the definition 
of "State agency." 

Very truly yours, 



J 




ATTORNEWGENERAL 



408 



APPENDIX G 



STATE OF ILLINOIS 

IN THE CIRCUIT COURT OF THE SIXTH JUDICIAL CIRCUIT 

CHAMPAIGN COUNTY 



THERESA STEPHEN, 

Plaintiff, 



ARTHUR F. QUERN, Director 
Illinois Department fo 
Public Aid; and ILLINOIS 
DEPARTMENT OF PUBLIC AID. 

Defendants. 



ORDER 

This case 1s brought for administrative review by a recipient of 
Public Aid whose grant was reduced when the County Department of Public Aid 
employees used a new formula to determine the petitioner's Income and thereby 
ascertain the amount of her grant. The petitioner also appeals from the 
administrator's final order denying her request to continue her benefits at 
their prior levels pending that decision. I find from the evidence and upon 
the law that the Administrator was wrong on both counts and therefore order 
him to reinstate the petition's payments at the rate determined by the legal 
policy in effect prior to the implementation of Budget Policy #615 of the 
AFDC procedures adopted February 6,^978. The result in this case derives 
from my conclusion that the change of "policy" contained in said #615 did 
affect recipient's benefits by means of an admittedly unpublished (in the 
Illinois Register) and admittedly unfilled (with the Secretary of State) 
"Rule." i 

The Department of Public Aid was at the time of the adoption of 
said rule required to comply with the Administrative Procedures Act, and that 
Act, Chapter 127, Section 1001 et. seq. required the department first to file 
and publish any new or amended rule and wait the prescribed time before 
applying such rule. As I said, 1t is admittec the Administrative Procedure' 
Act was not followed here with regard to Policy #615. 



409 



no impact on the eligibility of an applicant or the size of her grant, 
but those rules that do, go to the crux of the rights a citizen has to 
obtain the assistance the law has directed the department to give and , 
may not be changed without the opportunity for public hearing 
contemplated by the law, (Chapter 127). 

If the rule were otherwise, the administrator would be free 
to raise or lower the grants by administrative procedures he deemed 
necessary without notice. I do not, by these remarks indicate that the 
administrator could not change policies or procedures, but only that he 
must follow the procedures set out by law under Chapter 127; when as here 
the rule affects the rights of recipients to a grant properly determined 
by lawful rules. 

Returning now to the question of notice, a matter which has 
relevancy to the matter of the petitioner's right to have her grant 
continued at the old rate pending a final determination of the 
^correctness of the Department's action of reducing her grant. 

The departments rule simply stated is: If a petitioner files 
her notice to appeal any action of the department adverse to her; her 
grant will continue unreduced until the administrator's final decision, 
provided she does so within ten days of the date of the order reducing 
her grant. The administrator properly found that she did not have her 
appeal on file within 10 days and he upheld the departments refusal to 
continue her grant unabated. I agree with the petitioner that the ten 
days running should not start against her until she receives actual 
notice. The record establishes that she got actual notice on the 5th, 
6th, or 7th of June, 1978 and that her appeal was filed on the 15th of 
June and therefore was timely. Constructive notice of the reduction 
of her grant by reason of the receipt of the reduced check, or 
presumptive notice by_ reason of the mailing of the notice to the 
petitioner at her correct address will not prevail over the otherwise 
unimpeached testimony that the petitioner did not receive such notice. 
Due process requires nothing less in such circumstances: ISEBELL vs. 
. PUBLIC AID; 310 NE2 742; KANN vs. PUBLIC AID ; 333 NE2 233. 

Therefore, although I adopt the facts found by the 
Administrator in his final decision, I take exception to his conclusions 
and 1 order the petitioners orant be reinstated retroactively to June, 



410 



1978 as indicated above. 

Because 1 find nothing in the record upon which I could fix 
damages and because the Administrative Review Act would not permit me 
to consider in this preceeding, anything not properly before the agency's 
hearing officer, the petitioner's request for damages on other grounds 
will be denied and the Court herein enters its judgement on the findings 
above as ordered above and that the petitioner have her costs. 



(/fi*JsvUss 



Associate Judge 




ENTER: March 



4r 



411 



Printed by Authority of the State of Illinois 
March 1980 800 copies 



Joint 

Committee 

Officers 

and 

Members 



Chairman 

Senator Prescott E. Bloom 



First Vice-Chairman 

Senator Arthur L. Berman 



Second Vice-Chairman 

Representative Jim R88fl-15 

LOT 46A 

Secretary g^ 

Representative Harry "Bus" Yourell 



House Members 

Representative Glen L. Bower 
Representative Alan Greiman 
Representative Douglas N. Kane 
Representative Richard Kelly, Jr. 
Representative A. T. "Tom" McMaster 
Representative Robert C. Winchester 



Senate Members 

Senator Jeremiah E. Joyce 
Senator Lynn Martin 
Senator David Regner 
Senator George Sangmeister 
Senator Frank D. Savickas 
Senator Richard A. Walsh 



_ 



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