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February
1980
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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
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'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
0
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
0
Local Government Affairs
1
0
Mental Health & Developmental
Disabilities
8
13
Mines and Minerals
4
0
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
0
Legislative Travel Control
Board
1
1
House of Representatives
1
0
Miscellaneous Agencies
Banks and Trust Companies,
Commissioner of
0
2
Building Authority
1
0
1
9
11
14
10
2
4
4
4
1
1
wia
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 0 1 1
Criminal Justice Information
Council 1 2
Dangerous Drugs Commission 14 2 1
Board of Elections 6 1 1
2
1
0
1
17
11
0
1
1
2
14
2
6
1
3
4
7
12
2
0
2
3
1
2
Education, State Board of 4
Environmental Protection
Agency 7 12 3 2
Board of Ethics 2 0 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 0 1
Law Enforcement Merit Board 2 2 2
Liquor Control Commission 2 0 1
Local Records Commission
Lottery Control Board
Medical Center Commission
Institute of Natural Resources
Pollution Control Board 18 11 1
Prisoner Review Board 2 0 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 0
Statewide Health Coordinating
Council 4 1
Teachers Retirement System 2 0
Vocational Rehabilitation 1 0
27
1
6
5
2
0
1
0
1
0
3
0
1
4
1
0
3
1
0
2
2
2
0
0
1
0
2
0
1
0
1
18
11
2
0
10
14
3
4
2
3
0
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 0
Total: 507 475 72 65
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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 County (Green 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 !>« rne 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 tuner i on of tne 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 0 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
anv inticojtco effect on tne oroDOSinc agency'
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
Gua jet
'esentea tc
a of
CiuDlisneo Drooosa)
modifications
r nc
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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
37
2
"Th«* Illinois Administrative Proceoure Act", aopronjo
5c
3
September 22. 137b, as amended.
=»'"
«.
Be_i^_enac_ted_Ci_tr>e_Peoril_s_of !!e__Sta.te. or liij.Dai.ij.
c>2
3
VI 2L5k2 CLtert__Ln_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 ae. _n_
73
|2
EC2m.°Li°ri-_2i-_i5.££ii£L£. and_ proper rules 0 y , a?<?nc i es -jrij jn
7-
13
SiQ2i!:il§!l2i!!3_eS.l!!e U±LL — of t<_§ QyellS r e.s.r,e.c.t_n3 _u.c.n
75
1-
:al«: i"Ch — LuQc___on — shaiJ be 2dy.is.or_y. o_rI.L».i_£i£<i _.___£
1 >
2r^yj.S>i_i^^u2iect_cr^i_ibl__ol_Sect__n_7_.0__i^
ro
I 7
ill_*?2^jJ._o__S_c_ir1_._7.^i._3j_d^^
77
14
pe.en — eri + r— fel-an-ns — *o — tts— »-ontttijFiT-«Bfcn-iM+t-(i»-tfie
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
07
,o
per i od i c investigations of tne rule-'a^nu activities or ci 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- LRK31u5071JiPKA
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__Irie_JQ.in.L_C'2!r.iiiliii i^* r_2.ay.si.i CuLec;aiJ.Qri U.» a.n
30 agencv in the following cases:
31 (a) wnen_ the Joi_nt_ Commi ttee. l_n__Ih2 CQur se of its
32 review of an agency's rules under this Act. 3erke.r_m.l.Q£.5 lQa.£
33 th^-_^lhCils_rulei_are_J.ntomcLe.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-ei-iL5.y^0I_te-tnJ.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 the_ rulemaking, process within 270 days, of sue" request,. Li
1 1 the aoencv fails to adpot such policy? sucn policy shall 0£
12 ___._! !__-___!_ ineffective. a__ provideo 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 ____________________ Er_2e___________a____njg___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 within 6Q days _____ _Q£ ______ 2lo
9 ef feet of such proposed rule, amendment or repealer issue a 217
10 statement to that effect. A certified copy of Such statement 218
1 1 ___I_._______h.____. t^n to the proposing _qenc y _ng £2 tne
12 Secretary. of_ State_ for_ publication in the next available 21S
13 issue pf_ the I 1 1 inpi s_ Register. Issuance py fnj _____ 220
1*. Committer*. of_ a statement of objections to a proposed rule. 221
15 _______________E£_I______E_____g_____________2____j 2_____!__
lo _______-_____] npt_ preclude, issuance 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 repealer to _____ 226
21 ___-_____* Committee has issued a statement unoer sucsection 227
22 _____-_l_______£____£e_g____r ______ Q.JC __2 ________* at
2 3 5tflte__nor takp ef feet? If tne proposed rulet omenriment or ZZti
2* reoealer. or the portion of, t,ne proposed rulet amencmen\ a_ ZZ<i
25 r?2?§U^ L2 _____ — _h_ _____ — _£______£________________£__ 230
20 y___r_______t_o________.__gS__f.__g_ with _n_ _£__g__C_ at Z3L
Z1 State, prior to the receipt of the certified Statement oy tne
2d Secretary pf State, the effectiveness pf the r ul »i , amendment , .33
2-» 2_____£_1__: __ ___ port ion of the ___£_ amengmanr . 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 statement 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
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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!£_Br.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 petition 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 accordance.. wi th this subsection.
ji) The _ proposing aoencv m^y aetitiaG lhe___Jaint 2*8
Committee for introduction qf a joint resolution in the 2*9
General, assembly to overturn the effect of the action taken 250
by the Joint Committee under subsection (n). Such a Petition
must be submitted to the Joint Committee 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_ti2n___2_l__^^
10-^l!}£.r--rlguSe_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. The General Assembly may, 257
bv the adoption of such joint resolution within 90 gays at 258
the introduction pf the joint resolution, overturn the effect
pf the action taken by the Joint Committee. 259
(Ch. 127, par. 1007.07) 261
Sec. 7.07. (a) The Joint Committee may examine any 263
rule, including rules adopted unoer subsections^ (oj or .el pf 26*
Section 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 tnt
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.rJg-J.gJ-Ql-C.ammJ-tle.£_d.eier,m.i".£k-. tnaS si CvLfi 9X
35 E°.rtion__of__a^ rule, a<QP'°J under Subsections (01 Qr 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 of a statement py the Joint Committee unoer 3 18
this subsection to trie same rule or tne same portion _t a. 319 I
1 j ) Tne effectiveness, of, the rule ______ 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 Subsection (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
Joint Committee's action py tne Oeneral Assemoly* Tne agency
___.-_-_-_._f ai___T _"2r _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 subsection (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 ioint resolution witnin ^rj aa^s. g.i
the__int_roouc tion_of _tf>e ioint resolution 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-naei1 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:
= 0
(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
0 £_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 unti 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
rest roved 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 destruction 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 Department m,aY 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 tne
consent renu.red bv Section 3.1, has qualified 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
Department as person
Department finds that
i2 — LgfiiLLLfi ea.£H
hunter to be accompanied bv another hunter or to restrict tne
tot?'. — nywpex of hunters allowed m the area, the Department
may require each hunter under 16 years of eqg 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 one hunter per family, when such restriction
is necessary to .insure an equitable allocation of sites.
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
"presented 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 ▼ rel evorrt r-e-gq4ot i on a-, d-^r-eet-rons-,
orders, — deeti-rom — end f i nd ■ nga 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 end -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 » nqs-r orders of»q— dee main snail
be mailed to the parties affected thereby by United States
adCition to Jibe rulemaking Sni contested case recmremeras 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.afcr.3 mail, — dts
contemplated acfci
tut A in ge
: as enable
treiiity to be
fiat te 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 finding of the
Director made putauant to ejid within the authority of this
Act-r or that — {■*$ — fcrt- lieeuaee has willfully violated any
provisions of this Act or any rule_j_ regulation or 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 that (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 the 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 ceyulaLiouj . ) The Director shall make 10
18 «nd £ind, as required — by law; and enforce all reasonable 10
19 rules «n3 regulations 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 De
64
10
11
12
13
1*
15
65
66
67
68
69
a^c. -uH L5 y*o, 0gu
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.
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32
( c 1 No minor under 12 years of age, ewrpt-mmatr s-or-tne
188
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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
his principal place of residence; (2) to minpfj engaqeq tn
^f 'cultural Pursuit;? other than as a. gainful occupation; ,<?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 -reul tural ptifiniti— c«ttpt for -twose
pefieni — rMtrreteij — -f-rvrm working in a gainful aeeupa-ttan — mi
coflntet i en mtti-ayieultuf; — m — Sreet ■ on I, m the sale and
distribution of magazines and newspapers at hours when tne
schools of the district are in session^ -» hothi ng 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± applies — 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 — September 15, 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
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101
102
103
104
105
106
107
109
1 10
1 1 1
1 12
117
1 lb
1 19
120
R8
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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 xteen ( 1 b-f years of age snail
be employed, or permitted to work in any gainful occupations
went i oned i-n — 5eet-ren — 1 — &f — thi 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 mentioned in Stet-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
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-<r- LRB8108<»83AStc
1 pr-omw+e*** end enforce such reasonable rules and regqtatiofn 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 rulemaking mev not expand tne specific work 156
6 activities prohibited to minors specified in Section 7 of 159
7 this Act- Such rulemaking is subject; XQ 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? .Subject to tne 177
29 provisions of the Illinois Administrative 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
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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 enacted p< t rip People fli tne State. Qi 1 1 1 »no. Si
senreo in trie General assemu1 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 partly 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
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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 analysis of the appl itaP'e federal laws and
1 5 regulations and an opinion 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 const stents Wi 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
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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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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,
represents
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
208
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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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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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IS)
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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 under 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
applicable category of vendor., wh-j-ch — aeeaaient Vendor
agreements 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
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(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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2*6
2*9
2 50
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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
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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
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310
312
313
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317
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319
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32i
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323
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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.
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339
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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
Ll
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
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-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. Such rules 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^
vendorst notwithstanding the requirement under Sect i on
lZzitiii that the I » 1 ■ n<? i S Deaailtrnejvt._de^eJj^_^^e^rjign_t,s_B-LIi]
fid£Q category of vendors. 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.
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106
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-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
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Dy trie dispenser of such medical services. No such claims
118
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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
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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
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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
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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 ei ther of the
iol loajjisi.
I 1 ) the Department's pe^t-ey-or rules and — fego+at.ons,
sLfjQCJ.ed under Arii_c.l£ v to govern the dispensing of health
ser v ices; or w-i-th
( 2 ) the terms ano conditions prescribed by the Illinois
Department in j.hg iEec.ilii 'ts vendor agreement for 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
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.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
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196
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198
199
200
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202
203
204
205
2 06
207
208
209
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21 1
212
212
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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
en3aged 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«iinistrotive 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
represented 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« rectj_o.n of psychiatric programs, ajQii provide iar th&
exercise D_y such 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
registered under the Psychologist Re
X_<.Co JQi-iea.. 'n SUCh StanOar _.___. Hawevert LbS Department may
fg-iu're payr. Dpi agists — is — serve — under — ___£ direction or
21 supervision of a psychiatrist. Such standards shal
ZZ psychiatric services to be provided only under the
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 this provision governing community water supplies 82
Don-community water subp! tes serving ^3 persons or more for 83
at least bQ days per year, whicn are qoj, covered D_y. rules 8<.
85
adacii
'dilution Control Board or the Environmental
Protecxxon Agency, Before adopt »ng aay. rules 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 People ot tne State or LLii_n,oi sj
<» represented in the general Assembly:
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. The JeDartfiient may not aoout
22 rulgs. under tm s provision relating to water cual i ty
2- 3 iL^D_gaxO_s.i Rules r el at i ng £c such stanaaros 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-onT-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 providing procedures for tne revocation.
240
A 7
-2- LRB8108556B0jo
au^aeaa'Qnt or a\ demerit ■ on d orppatipnarv status pf approval
of schools of PfQfe5S'Qnd
nur s t nq ■ n jhi s Sta te.
a school's approval on a arobation
safit-Llxeo — ae r L
reypcatipm suspension
urs'ng and schools <?f eratt't4i
.O-UteisenjL — ai
probationary status of approval of schools. Reasonable notice
and opportunity for a hearing snail oe provided to the school
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__
represented in the General 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^
suspens i on or placement on a protiat ■ onar y status of school;
of arofessionol 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" ^.gz_Qf the — U 1 ■ "pf s 4aiM "> ^fatiye
Procedure Atlj requiring tiie — statement — al — criteria. ox
10 standards for discretionary actions, shall not apply to rules
li adopted un<3er. tfr>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
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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 State of Illinois.
reprg5?"ted 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.
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1 9. Such other reasonable information as the Department 88
2 tray require. 89
3 Such rejurn ^nrj apy other nor..c,es required tO-.P.g f-'gO. 90
* under this Act shaM contain^ or 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;
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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
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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
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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
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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
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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
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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
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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
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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.
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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;
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1 9. Such other reasonable information as the Department
2 may require.
3 Th,e Qepartment may not require such return nor other
4 notices required to oe filed under this Act to contain. nor
5 to be verified fcxJ a written declaration that it is maae
o unoer the penal 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
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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
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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
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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
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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
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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..
tine People of
tssentbl 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
declaration qf policy is based on the finding av the General
Assembly that there is uncertainty regarding the rights of 6 7
the parties involved and that vehicle relocators may have
t harged unreasonanle fe.es. This supervision and regulation
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 reasonable rates for iuitj
service. To accompl i sfiT-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 — *35T — 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 maximum fees for the storage, for periods in excess 9<t
of 72 hours. of trespassing vehicles towed or removed from
private property >f 't fmds lha_£ such maximum fees are 95
necessary %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. Such mjnifflug fg^s shall be. based on information 100
t&gamiaa typical business expenses involved in such storage
in the geographical area of the State in whicfi the relocator 101
ii ooerat i ng. Tne Commission may not impose uniform '. 02
setting sucn maximum 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 the towmg or removal of 195
trespassing vehicles in excess of *35* or to impose any 196
fctuacflfi .. f Of >ef»t«-9f storage in eyceas, pf any maximum fees. 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-101r 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
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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 trespassing vehicles Lfl excess 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 eoresent
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 reduction 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£ Agency shaP pe responsible for document' ng aaa
maintaining records of emission reductions — acpteved — p_y — air
pollution sources ..wnich gay &<; uti I izefl. for ..sati sf yipg tne
r-gauctions a_s offsets snaJJ — Us. — peld — ay the owner of tne
SJiUXCB responsible for the reduction and may not De
ferreo. Reasonable allowances shall be made for economic
'JLUrtl.
satisfied the offset requireme
source; prior To the imposition of an
snail also D* considered by the Age
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 to oota»n an emission offset under ttuJi paragraph. 155
3 inaJJ ae gee<neg tQ_ sAtisf v. t*)t a . cefl^' remern, nat^i tmtangins 156
4 any other 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 tnfi
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"« aHt,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 of
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 0n 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 fegerdi
designations shall be at the sole discretion of the Board and
no cr i ter ia or s_ta.ria.axd.s. ifll iU£J3 flg&JSflflXjiflflS Shd? 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.
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(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
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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.
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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.
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(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.
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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.
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(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
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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
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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
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AN ACT to amend Sections 4.01. 5, 6, 7.04, 7.05, 7.06 and
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7.07 of and to add Sections 5.01, 5.02, 5.03 and 6.01 to
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"The Illinois Adniuistra tive Procedure Act", approved
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September 22, 1975, as amended.
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Be it enacted bv the People of the State of Illinois,
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represented in the General Assembly:
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Section 1. Sections 4.01, 5, 6, 7.01, 7.05, 7.06 and
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7.07 of "The Illinois Ad riinistrati ve Procedure Act", approved
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September 22, 1975, as amended, are amended, and Sections
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5.01, 5.02, 5.03 and 6.01 are added thereto, the amended and
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added Sections to read as follows:
rA
(Ch. 127, par. 1004.01)
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Sec. 4.01. - (a) Each agency shall maintain as rules a-
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rule the following:
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1. a current description of the agency's organization
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with necessary charts depicting sane;
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2. the current procedures on how the public can obtain
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infornation or make submissions or requests on subjects.
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programs, and activities of the agency;
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3. tables of contents, indices, reference tables, and
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other materials to aid __ users in finding and usxng the
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agency's collection of rules currently in force; and
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4. a current description of the agency's rule making
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procedures with necessary flow charts depicting same.
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(b) The rules required to be filed by this Section may
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be adopted, amended, or repealed and filed as provided in
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this Section in lieu of any other provisions or requirements
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of this Act.
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The rules required by this Section may be adopted.
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amended, or repealed by filing a certified copy with the
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Secretary of State as provided by paragraphs (a) and (b) of
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Section 6, and may becoae effective immediately.
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Sec. 5. Procedure for Hule-Haking.) (a) Prior to the
adoption, amendment or repeal of any rule, each agency shall
accomplish the actions required hy Section 5.01, 5^.02 or
5.03, whichever is applicable.*
4-, jive — a-t — least ')5 days' — notice of itc intended action.
this notie-e — period shall — coiionco — e* — t*e — f irot — d-a-y — t4*« — not ioe
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 jog ts — *ft4 issues — involved ; — a-ffd — t4*-e
time, — place a-fnj manner — -i* which i ntorostod persons aa-y
present their — views a-frd coaaonto concerning the intended
action,
tition, — the Secretary of — State shall publisfe
arttd maintain the Illinois Bcgiotcr and sot forth the naacor
in which agencies shall subait the notices required by this
i-j-liriiois Roi
ihall be published at least once each wee i
the sar.o day — unless such day is an official State holiday
■i-fl — which — cane — fe-^e — Illinois register — shall — be published on — fch-e
r.cKt — following business — d-a-y a&d soot — t-s subscribers wh-o
s-u-bsenbo £-o* t4re publication with — the Secretary of Stato.
The Secretary of State — may charge a subscription price to
subscriber s — that — eovors aailinj — a-u-d — publication — oootoi
■2-. afford a-tl interested porsonc who submit a request
within — *-f days after notice e4j fch-e proposed change is
publ ished in the — Illinois Begistor — reasonable — opportunity — fc-e
-.ubrait data, — vici
discretior
arguments or coa-Dents,
^eh — may, — in tin
— a gency, — be st
-4-h-e notice publishe
od either
orally or Id
t4ve Illinoio
w-frit-ing or both.
Register of the Secretary of State shall indicate — t-be — wnncr
selectod by the agency ie-t ouch ouboissiono» Z-he agency
Ghall consider — fully all cubuissious respecting the proposed
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rule under
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-4a} (3) — of this 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 agency io required by — federal law or fedora i
rulc-G and regulations or by an order of coutt — to adopt a rule
under conditions whiGh preclude — t-h-e — agency's oosiplianco — kHt*h-
the notice or hearing requirement of tiiio 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 rulemaking. ) In all rulemaking to
which Section 5.02 or 5.03 does not apply, each agency shall:
(a) give at least "5 days' notice of its intended action
to the qeperal public. This first notice period shall
coanence on the first day the notice appears in the Illinois
Register. The first notice shall include a teit of the
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proposed rulp. or the old and new materials of a proposed
a mendnent , or the text of the provision to be repealed; the
specific statutory citation upon which the proposed rule, the
proposed anendcect 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 vhich interested persons pay present their views and
comments concerning the intended action.
During the first notice period, th e agency shall provid e
all interested persons wHo submit a reguest to connent within
the first It days of the notice period reasonable opportunity
to subait data, views, arguments or consents, which nay, in
the discretion of the agency, be submitted either orally or
in writing or both. The notice pu blished in the Illinoi s
Register shall indicate the manner selected by the agency for
such submissions. The agency shall consider all submissions
(b) prov ide up to 15 days additional noti ce of it s
intended action to the Joint Committee on Administrative
Rules. The second notice period shall conaence on the day
written notice is receiv ed by t he Joint Coa mittee. and shall
expire *45 da ys thereafter unle ss prior to that tine the
agency shall have received a statement of objection from the
Joint Coanittee. or notification froa 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 nay be made to a
proposed rule unless it is made in response to an objection
or suggestion of the Joint Committee.
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(c) after the expiration of M5 days, after notification
froa the Joint Connittee that no objection will be issued, or
after response by the agency to a statement of objections
issued by the Joint Con^ittee, 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 Illinoi s
Register. Eac« 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.
(Ch. 127, new par. 1005.02)
Sec. 5.02. Eaergency ruleoalcipg. ) "Emergency" Beans the
existence of any situation which any agency finds reasonably
constitutes a threat to the public interest, safety or
agency finds that
;rgenc -± exists
ijch requires adoption
rule upon fewer days than is
required by Section 5.01 , and states in writing its reasons
for that finding, the agency nay adopt an eaerqency rule
without prior notice or hearing. upon filing a notice of
eaerqency rule making 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 sta tutor y
provisions, an emergency rule becones effective inmed iately
upon filing pursuant to Section 6, or at a stated date less
than 10 days thereafter. The agency's finding and _a
stateaent of the specific reasons therefor shall be filed
with the rule. The agency shall take reasonable and
appropriate oeasur es to oake eaergency rules known t o th e
persons who nay be affected by then.
An eaergency rule may be effective for a period of not
longer than 150 days, hut the agency's authority to adopt an
identical rule under Section 5.01 of this Act is not
precluded. No emergency rule cay be adopted nore than once
in any 24 ponth period. Two or pore eneraqney rules having
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subr.t an*ially the sane purpose aud effect shall be deemed to
be a single rule for purposes of this Section.
(Ch. 127, new par. 1005.03)
Sec. 5.03. Peremptory rulein a king. ) "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 condit ions. 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 t hat perenptory rulemaking is necessary and
states in writing its reasons for that finding, the agency
nay adopt perenptory rnleaaking 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
ruleoaking provisions of this Section becomes effectiv e
immediately upon filing with the Secretary of State and in
the agency's principal office, or at a date regaired or
authorized by the relevant federal law, federal rules and
regulations.
>r court order.
stated
»tice of
rulemaking. Notice of rulemaking under this Section shall be
published in the Illinois Register, and shall specifically
refer to the appropriate state or federal court order or
federal law, rules and regulations, and shall be in such form
as the Secretary of State may reasonably prescribe by rule.
The agency snail file the notice of peremptory rulemaking
within 30 days after a change jp rules is required.
(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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1 The Secretary of State and the agency shall each keep a
2 percanent register of the rules open to public inspection.
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otf tif ioa — copies a-s — aro not in suiisUnt ial c-ss
reasonable rules proscribed by hia cono<
<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
effective 4-0 doyc
after — filing! er.cept that;
-4-. fcf- — & squired by statute or specified in the rule
later — date is 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)
Sec. 6.01. Forn and publication of notices.) The
Secretary of State nay prescribe reasonable rules concerning
the foria of documents to be filed with hin, and nay refuse to
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accept for filing such certified copies as are not in 299
coopliance with such rules. In addition, the Secretary of
State shall publish and oaintain the Illinois Register and 300
pay proscribe reasonable rules setting forth the nanner in 301
which agencies shall subnit notices required by this Act for 302
publication in the Illinois Register. The Illinois Register 303
shall be "published at least once 'each, week on the saae Jay ,394
unless such day is an official State holiday in which case 305
the Illinois Register shall be published on the next
following business day and sent to subscribers who subscribe 306
for the publication with the Secretary of State. The 307
Secretary of State nay charge a subscription price to
subscribers that covers nailing and publication costs. 308
Notwithstanding 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 be 312
satisfied by filing with the applicable notice a photographic 313
or other reproduction of such rules, or a stateoent that the 314
agency proposes to adopt or is adopting such rules with a
citation to the Federal Register or Code of Federal 315
Regulations where the text appears. If an agency proposes or 316
adopts as rules the standards or guidelines, or portions 317
thereof. of any professional, trade or other association or
entity, the requirenent that the full text thereof be filed 318
shall he satisfied by filing with the applicable notice a 319
photographic or other reproduction of such standards 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
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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
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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.
«- The Joint Committee shall suggest rulenakjpq of an
agency whenever the Joint Committee, in the course of its
review of the' agency's rules under this Act, determines that
t_he agency's rules are incomplete, inconsistent or otherwise
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.
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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 makeor.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 StateA 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 notification to the Secretary of 130
State for publication in the next available issue of the
Illinois Register. In addition, the Joint Committee pay 131
recommend legislative 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 or 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
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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 notify the 452
* Joint Connittee in writing of its refusal and shall subnit a 453
5 notice of refusal to the Secretary of State which shall be
6 published in the next available issue of the Illinois 4 54
7 ' Register. a-»4 Tf tiie Joint Committee decides to tccoBBtnd 455
8 legislative action in 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 Section 462
14 6, if such rulemaking is subject to this Section, until after 463
15 the agency has responded to the objections of the Joint 464
16 Committee as provided 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 the Joint Committee in writing of its refusal
and shall submit a notice of refusal to the Secretary of
22
23
24
25
26.
27
28
29
30 "
V-
State which shal 1 be published in the next availab le is 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
497
498
500
501
502
504
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506
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509
510
511
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 by the People of the State of Illinois,
5 represented in the General 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
H(U19C Unrolled
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
89
90
91
92
93
9 4
95
96
98
99
IOC
101
102
102
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PA81-1035
333
Hllll'Jb' Enrolled
-3-
LKB81 JSOGOJS jp
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 on the persons regulated
5
bv the
rule ;
any anticipated effect on the proposing aqency's
G
budget
and
the budgets of other State agencies; and any
2 7 anticipated 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.
9J^-
12<",
12C
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129
13o
131
132
134
135
137
138
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143
14i
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153
154
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334
PA81-1035
illed
-4-
L,Ht)810506'JJSjp
3i^
(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 effects i-ncreosing — eee
pact.
b
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2.
10
3.
11
4.
12
5.
13
6.
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7.
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176
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191
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President V>£ the/;
PA8 1-1035
335
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 exercise 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 0 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 Rule 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 0 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
Rulc 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 15S 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, I979s effective September l3 1979) c iq7g
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.S3 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 August 15, 1979, effective September 13 1979)
AUG 15 197
360 Rule Five
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 153 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 l3 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 153 19793 effective September 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 15f 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 August lb, 1979, effective September 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 administrative unit or corporate outgrowth
o± the State government which is created by or ~
mrsuant 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."
(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, the State government, 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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